Wolfe Research Advisors, LLC (New York)

Wolfe Research Advisors, LLC is a mid-sized advisory firm based in New York. It manages $200 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of New York.

Wolfe Research Advisors provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wolfe Research Advisors: assets under management

The assets under management (AUM) of Wolfe Research Advisors, LLC is $200 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wolfe Research Advisors, LLC for their services and products based on a percentage of assets under management, fixed fees, commissions, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Wolfe Research Advisors serves?

The only and largest group of clients of Wolfe Research Advisors is investment companies with 4 clients and $200 million of assets under management. Among the 9 most similar advisory firms, Wolfe Research Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $200 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Wolfe Research Advisors doesn't advise any private funds.

Careers at Wolfe Research Advisors, LLC

The company employs 8 people that are either part- or full-time employees. 88 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Edward Mark Wolfe	Managing member	1 Oct 2017	Other	2804319
Llc Wolfe Holdco	Xxxxxxxx	1 Oct 2017	75% - 100%	80-0451415
David Jerome Malat	Chief compliance officer	1 Oct 2017	Other	1860262
Sandra Marie Pallante	Chief compliance officer	1 Aug 2019	Other	2018926

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Edward Mark Wolfe	Managing member	1 Aug 2009	75% - 100%	2804319

Based in New York

The principal office where Wolfe Research Advisors, LLC performs its advisory services is located at 420 Lexington Avenue Suite 648, New York, NY 10170, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-845-0700. The normal business hours are 9am-5pm on Monday - Friday.