{
  "crd_number": 144884,
  "slug": "henley-and-company-wealth-management-llc-uniondale-ny-144884",
  "primary_business_name": "HENLEY & COMPANY WEALTH MANAGEMENT LLC",
  "legal_name": "HENLEY & COMPANY WEALTH MANAGEMENT LLC",
  "dbas": [],
  "city": "Uniondale",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2012-08-14",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-03-25",
  "carried_forward": false,
  "raum_total": 93923336.0,
  "raum_discretionary": 93923336.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 6,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 13749284.0,
      "count": 41
    },
    "pension_profit_sharing": {
      "raum": 11721376.0,
      "count": 6
    },
    "high_net_worth_individuals": {
      "raum": 66509482.0,
      "count": 22
    },
    "corporations_other_businesses": {
      "raum": 1943194.0,
      "count": 2
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 4,
  "states_registered": [
    "CT",
    "FL",
    "NY",
    "SC",
    "VA"
  ],
  "websites": [
    "https://henleyandcompany.com",
    "https://irarousso.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144884",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "UNIONDALE",
  "url": "https://advisorcensus.com/firm/henley-and-company-wealth-management-llc-uniondale-ny-144884",
  "display_name": "Henley & Company Wealth Management LLC",
  "summary": "Henley & Company Wealth Management LLC is an SEC-registered investment advisory firm in Uniondale, NY, registered since 2012, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.",
  "citation": "AdvisorCensus. Henley & Company Wealth Management LLC (CRD 144884): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Henley & Company Wealth Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Henley & Company Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Henley & Company Wealth Management LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 25, 2026 states: Up to $200,000: 2% a year; $200,000 to $500,000: 1.75% a year; Above $500,000: 1.25% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Henley & Company Wealth Management LLC located?",
      "a": "Henley & Company Wealth Management LLC's principal office is in Uniondale, NY, according to its Form ADV."
    },
    {
      "q": "Is Henley & Company Wealth Management LLC registered with the SEC or a state?",
      "a": "Henley & Company Wealth Management LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 144884."
    },
    {
      "q": "How much does Henley & Company Wealth Management LLC manage?",
      "a": "Henley & Company Wealth Management LLC reports $93,923,336 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary)."
    },
    {
      "q": "How have Henley & Company Wealth Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Henley & Company Wealth Management LLC: Regulatory assets under management: $40,869,740 in the October 2021 data and $93,923,336 in the October 2026 data, up 130%. Total employees: 8 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Henley & Company Wealth Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (41); high net worth individuals (22); pension and profit sharing plans (but not the plan participants or government pension plans) (6)."
    },
    {
      "q": "Which custodians does Henley & Company Wealth Management LLC use?",
      "a": "Henley & Company Wealth Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Henley & Company Wealth Management LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144884"
    },
    {
      "q": "Does Henley & Company Wealth Management LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 25, 2026 says: \"In general, we require a minimum of $25,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size.\""
    },
    {
      "q": "What changed in Henley & Company Wealth Management LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 3."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 40869740.0,
      "total_employees": 8,
      "filing_date": "2021-08-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 111744993.0,
      "total_employees": 7,
      "filing_date": "2022-03-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 79515654.0,
      "total_employees": 6,
      "filing_date": "2023-05-16"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 90927155.0,
      "total_employees": 6,
      "filing_date": "2024-02-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 96072449.0,
      "total_employees": 6,
      "filing_date": "2025-03-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 93923336.0,
      "total_employees": 6,
      "filing_date": "2026-03-25"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 5 to 3."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 25, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $200,000",
        "rate": "2%"
      },
      {
        "band": "$200,000 to $500,000",
        "rate": "1.75%"
      },
      {
        "band": "Above $500,000",
        "rate": "1.25%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$25,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $200,000: 2% a year",
          "$200,000 to $500,000: 1.75% a year",
          "Above $500,000: 1.25% a year"
        ],
        "quotes": [
          "Our fee for portfolio management services is based on a percentage of the assets in your account and is set forth in the following annual fee schedule:",
          "First $200,000 2.00%\nNext $300,000 1.75%\nOver $500,000 1.25%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $25,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "In general, we require a minimum of $25,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 200000.0,
          "rate_pct": 2.0
        },
        {
          "min": 200000.0,
          "max": 500000.0,
          "rate_pct": 1.75
        },
        {
          "min": 500000.0,
          "max": null,
          "rate_pct": 1.25
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 25000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Our fee for portfolio management services is based on a percentage of the assets in your account and is set forth in the following annual fee schedule:",
      "First $200,000 2.00%\nNext $300,000 1.75%\nOver $500,000 1.25%",
      "In general, we require a minimum of $25,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/henley-and-company-wealth-management-llc-uniondale-ny-144884.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 41,
      "fewer_than_5": false,
      "raum": 13749284.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 22,
      "fewer_than_5": false,
      "raum": 66509482.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 6,
      "fewer_than_5": false,
      "raum": 11721376.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 2,
      "fewer_than_5": false,
      "raum": 1943194.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144884",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}