HOLLOW BROOK WEALTH MANAGEMENT LLC
CRD #145521 SEC #801-68599 KATONAH, NY 212-364-1848
SEC Registered
Total AUM
$1.2B
Discretionary
$684.8M
Employees
15
Clients
51
Accounts
538
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FEDERICI, GUIDO, ANTHONY | I | CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | |
| FEDERICI, GUIDO, ANTHONY | I | CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | |
| LAM, SAMANTHA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LAM, SAMANTHA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | NA | Control |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| ORING, DAVID, ADAM | I | VICE PRESIDENT | NA | |
| PREZIOSI, LILLIAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | E | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NORDBERG, EDGAR, WAYNE | I | CHIEF EXECUTIVE OFFICER | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT / CCO | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT / CCO | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT / CCO | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT / CCO | D | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT / CCO | D | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| BAZAAR, ALAN, LEE | I | CEO | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| NORDBERG, EDGAR, WAYNE | I | CHAIRMAN | C | Control |
| OMALLEY, THOMAS, DANIEL | I | CHIEF EXECUTIVE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | C | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | C | Control |
| BAZAAR, ALAN, LEE | I | CO-CHIEF EXECUTIVE OFFICER | B | Control |
| BAZAAR, ALAN, LEE | I | CEO | B | Control |
| BAZAAR, ALAN, LEE | I | CO-CHIEF EXECUTIVE OFFICER | B | Control |
| BAZAAR, ALAN, LEE | I | MANAGING DIRECTOR | B | Control |
| BAZAAR, ALAN, LEE | I | CEO | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| ORING, DAVID, ADAM | I | TREASURER | B | Control |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| PREZIOSI, LILLIAN | I | VICE PRESIDENT/SECRETARY | B | |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT/COO/CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | CO-CHIEF EXECUTIVE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | B | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | CO-CHIEF EXECUTIVE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILIP, ERNST | I | MANAGING DIRECTOR | B | Control |
| RICHTER, PHILIP, ERNST | I | PRESIDENT | B | Control |
| RICHTER, PHILIP, ERNST | I | CHIEF COMPLIANCE OFFICER | B | Control |
| RICHTER, PHILLIP, ERNST | I | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | B | Control |
Registrations
Federal
IA
Mar 30, 2025 REGISTERED
Notice Filings (20)
CA CO CT DC FL IL LA MA ME MT NH NJ NY OH PA PR TX VA VT WA
Address
152 BEDFORD ROADKATONAH, NY 10536
United States
Phone: 212-364-1848