# Henley & Company Wealth Management LLC

> 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.

- CRD: 144884
- Filed as: HENLEY & COMPANY WEALTH MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Uniondale, NY
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/144884
- AdvisorCensus page: https://advisorcensus.com/firm/henley-and-company-wealth-management-llc-uniondale-ny-144884

## Quick answers

**How is Henley & Company Wealth Management LLC compensated?**
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.

**How much does Henley & Company Wealth Management LLC charge?**
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.

**Where is Henley & Company Wealth Management LLC located?**
Henley & Company Wealth Management LLC's principal office is in Uniondale, NY, according to its Form ADV.

**Is Henley & Company Wealth Management LLC registered with the SEC or a state?**
Henley & Company Wealth Management LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 144884.

**How much does Henley & Company Wealth Management LLC manage?**
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).

**How have Henley & Company Wealth Management LLC's assets and staff changed since 2021?**
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.

**What types of clients does Henley & Company Wealth Management LLC serve?**
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).

**Which custodians does Henley & Company Wealth Management LLC use?**
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.

**Does Henley & Company Wealth Management LLC report any disciplinary disclosures?**
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

**Does Henley & Company Wealth Management LLC state an account minimum?**
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."

**What changed in Henley & Company Wealth Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 5 to 3.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Up to $200,000: 2% a year
- $200,000 to $500,000: 1.75% a year
- Above $500,000: 1.25% a year

> 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% Next $300,000 1.75% Over $500,000 1.25%

- Account minimum: $25,000 (the brochure says it may be waived or negotiated)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $93,923,336
- Discretionary: $93,923,336
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 41 | $13,749,284 |
| High net worth individuals | 22 | $66,509,482 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $11,721,376 |
| Corporations or other businesses not listed above | 2 | $1,943,194 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2012 (14 years)
- Employees: 6 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CT, FL, NY, SC, VA
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144884

### Websites listed on Form ADV (Item 1.I)
- [henleyandcompany.com](https://henleyandcompany.com)
- [irarousso.com](https://irarousso.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $40,869,740 | 8 | August 24, 2021 |
| October 2022 | $111,744,993 | 7 | March 16, 2022 |
| October 2023 | $79,515,654 | 6 | May 16, 2023 |
| October 2024 | $90,927,155 | 6 | February 28, 2024 |
| October 2025 | $96,072,449 | 6 | March 13, 2025 |
| October 2026 | $93,923,336 | 6 | March 25, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 5 to 3.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Henley & Company Wealth Management LLC (CRD 144884): Form ADV filing data as of October 2026.