AdvisorCensus / Financial advisors / New York / Buffalo / Mollot & Hardy, Inc.
Mollot & Hardy, Inc. is an SEC-registered investment advisory firm in Amherst, NY, registered since 2018, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 13, 2026.
Quick answers
From the filingHow is Mollot & Hardy, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Mollot & Hardy, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Mollot & Hardy, Inc. located?
Mollot & Hardy, Inc.'s principal office is in Amherst, NY, according to its Form ADV.
Is Mollot & Hardy, Inc. registered with the SEC or a state?
Mollot & Hardy, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 128377.
How much does Mollot & Hardy, Inc. manage?
Mollot & Hardy, Inc. reports $80,604,656 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (0% discretionary).
How have Mollot & Hardy, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Mollot & Hardy, Inc.: Regulatory assets under management: $101,397,729 in the October 2021 data and $80,604,656 in the October 2026 data, down 21%. Total employees: 4 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Mollot & Hardy, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (67); high net worth individuals (10).
Which custodians does Mollot & Hardy, Inc. use?
Mollot & Hardy, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Ascensus Trust Company and Pershing LLC as custodians holding 10% or more of its separately managed account assets.
Does Mollot & Hardy, Inc. 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/128377
Does Mollot & Hardy, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 13, 2026 says: "Mollot & Hardy requires a minimum of $250,000 in order to open an account. To reach this account minimum, clients can aggregate all household accounts. We, at our sole discretion, can accept clients with smaller portfolios based upon certain factors including anticipated future earning capacity, anticipated future additional assets, account composition, related accounts and pre- existing client relationships."
What changed in Mollot & Hardy, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $73,211,674 to $80,604,656 (+10%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Mollot & Hardy requires a minimum of $250,000 in order to open an account. To reach this account minimum, clients can aggregate all household accounts. We, at our sole discretion, can accept clients with smaller portfolios based upon certain factors including anticipated future earning capacity, anticipated future additional assets, account composition, related accounts and pre- existing client relationships.
As stated in the firm's Form ADV Part 2A brochure dated March 13, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$80,604,656 as of October 2026, filing dated March 13, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2018 (8 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $80,604,656 | 2 | March 13, 2026 |
| October 2025 | $73,211,674 | 2 | March 17, 2025 |
| October 2024 | $77,741,764 | 3 | June 26, 2024 |
| October 2023 | $75,938,298 | 4 | May 17, 2023 |
| October 2022 | $73,510,093 | 4 | March 13, 2022 |
| October 2021 | $101,397,729 | 4 | February 22, 2021 |
Regulatory assets under management: $101,397,729 in the October 2021 data and $80,604,656 in the October 2026 data, down 21%.
Total employees: 4 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $73,211,674 to $80,604,656 (+10%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Mollot & Hardy, Inc. (CRD 128377): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/mollot-and-hardy-inc-amherst-ny-128377