# Hoffman, Alan N. Investment Management

> Hoffman, Alan N. Investment Management is an SEC-registered investment advisory firm, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 14, 2026.

- CRD: 109454
- Filed as: HOFFMAN, ALAN N. INVESTMENT MANAGEMENT
- Legal name: Hoffman Alan Nathan
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: September 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109454
- AdvisorCensus page: https://advisorcensus.com/firm/hoffman-alan-n-investment-management-109454

## Quick answers

**How is Hoffman, Alan N. Investment Management compensated?**
On its Form ADV (Item 5.E, October 2026), Hoffman, Alan N. Investment Management reports these compensation arrangements: a percentage of assets under its management.

**How much does Hoffman, Alan N. Investment Management charge?**
Its Form ADV Part 2A brochure dated January 21, 2026 states: Asset-based fee: 1.5% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Hoffman, Alan N. Investment Management registered with the SEC or a state?**
Hoffman, Alan N. Investment Management is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 109454.

**How much does Hoffman, Alan N. Investment Management manage?**
Hoffman, Alan N. Investment Management reports $187,885,039 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (100% discretionary).

**How have Hoffman, Alan N. Investment Management's assets and staff changed since 2021?**
In the Form ADV data for Hoffman, Alan N. Investment Management: Regulatory assets under management: $163,748,821 in the October 2021 data and $187,885,039 in the October 2026 data, up 15%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Hoffman, Alan N. Investment Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (40); individuals (other than high net worth individuals) (35).

**Which custodians does Hoffman, Alan N. Investment Management use?**
Hoffman, Alan N. Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Hoffman, Alan N. Investment Management report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109454

**Does Hoffman, Alan N. Investment Management state an account minimum?**
Its Form ADV Part 2A brochure dated January 21, 2026 says: "Hoffman, Alan N. Investment Management requires a minimum of $ 100,000 to open an account. In certain instances, the minimum account size may be lowered or waived."

**What changed in Hoffman, Alan N. Investment Management's recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $226,837,115 to $183,357,629 (-19%).

## 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 January 21, 2026)

- Asset-based fee: 1.5% of assets a year

> Hoffman, Alan N. Investment Management charges an annual investment advisory fee based on the total assets under management of 1.5%.

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> Hoffman, Alan N. Investment Management requires a minimum of $ 100,000 to open an account. In certain instances, the minimum account size may be lowered or waived.

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $187,885,039
- Discretionary: $187,885,039
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 35 | $14,100,905 |
| High net worth individuals | 40 | $173,784,134 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- anhinvest.com
- LinkedIn @alan-n-hoffman-5044352

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $163,748,821 | 1 | May 6, 2021 |
| October 2022 | $164,474,700 | 1 | August 1, 2022 |
| October 2023 | $136,812,312 | 1 | January 31, 2023 |
| October 2024 | $184,193,130 | 1 | January 12, 2024 |
| October 2025 | $226,837,115 | 1 | January 24, 2025 |
| October 2026 | $187,885,039 | 1 | September 14, 2026 |

Regulatory assets under management: $163,748,821 in the October 2021 data and $187,885,039 in the October 2026 data, up 15%.
Total employees: 1 in October 2021 and 1 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $226,837,115 to $183,357,629 (-19%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Hoffman, Alan N. Investment Management (CRD 109454): Form ADV filing data as of October 2026.