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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

HENNESSY ADVISORS, INC.

CRD 110770

NOVATO, CA

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Search this name across graphsid dfx:ria:1a255d2e-180c-6c95-a385-ddf140feeaa3

Data as of Nov 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 7
On other graphs: 0
Observed: Dec 5, 2011 to Nov 14, 2025
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $4.3BItem 5.F on the latest filing (2025-11-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $4.3Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 19
Advisory employees: 8
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 17
SEC number: 801-36288
CIK: 1145255
CRD: 110770
Filings on the tape: 21
First filed: Dec 5, 2011
Latest filed: Nov 14, 2025
Organised: Corporation, CA
Website: hennessyadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRIAN CAMERON CARLSON	Chartered Financial Consultant	NOVATO, CA	12	28	4	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
HENNESSY MICRO CAP GROWTH FUND, LLC	Hedge Fund	$1.5M	Mar 6, 2012	10	Dec 5, 2011	dropped	021-108996

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FAHY, KATHRYN, ROSE	CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER	Na	yes	01/2018	Jan 30, 2018	Dec 16, 2024
HANSEL, HENRY, CURTIS	DIRECTOR & SHAREHOLDER	Na	yes	05/2001	Dec 5, 2011	Dec 16, 2024
HENNESSY, BRIAN, ANTHONY	DIRECTOR & SHAREHOLDER	Na	yes	02/1989	Dec 5, 2011	Dec 16, 2024
HENNESSY, NEIL, JOSEPH	CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER	C	yes	01/2018	Dec 5, 2011	Dec 16, 2024
Knight-O'Riordan, Lydia, Dawn	DIRECTOR & SHAREHOLDER	Na	yes	12/2021	Dec 23, 2021	Dec 16, 2024
Newton, Kiera, Markale	DIRECTOR & SHAREHOLDER	Na	yes	12/2022	Jan 3, 2023	Dec 16, 2024
NILSEN, TERESA, MARIANI	PRESIDENT, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER	Na	yes	01/2018	Dec 5, 2011	Dec 16, 2024
POMILIA, SUSAN, WEBER	DIRECTOR & SHAREHOLDER	Na	yes	04/2014	Dec 16, 2014	Dec 16, 2024
SEAVEY, THOMAS, LAWRENCE	DIRECTOR & SHAREHOLDER	Na	yes	05/2001	Dec 5, 2011	Dec 16, 2024
STEADMAN, DANIEL, BRUCE	EXECUTIVE VICE PRESIDENT & SHAREHOLDER	Na	yes	12/2022	Dec 5, 2011	Dec 16, 2024
CARLSON, BRIAN, CAMERON	CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER	Na	no	01/2018	Jan 30, 2018	Dec 16, 2024
EMERSON, JENNIFER, LYNN	GENERAL COUNSEL & SHAREHOLDER	Na	no	06/2013	Dec 3, 2013	Dec 16, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CHAPEL HILL	Nc	United States	2	no
Boston	Ma	United States	1	no
Dallas	TX	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Dec 16, 2024	$5.1B	$5.1B	18	8	3	n/a	n/a
2023	Dec 15, 2023	$3.1B	$3.1B	17	8	3	n/a	n/a
2022	Jan 3, 2023	$3.0B	$3.0B	19	8	3	n/a	n/a
2021	Dec 23, 2021	$4.1B	$4.1B	19	7	2	n/a	n/a
2020	Dec 10, 2020	$3.6B	$3.6B	22	7	2	n/a	n/a
2019	Dec 18, 2019	$4.9B	$4.9B	21	7	2	n/a	n/a
2018	Dec 19, 2018	$5.8B	$5.8B	23	7	2	n/a	n/a
2017	Dec 15, 2017	$6.7B	$6.7B	23	8	2	n/a	n/a
2016	Dec 15, 2016	$6.4B	$6.4B	22	9	n/a	n/a	n/a
2015	Dec 14, 2015	$6.0B	$6.0B	21	8	n/a	n/a	n/a
2014	Dec 16, 2014	$5.5B	$5.5B	19	8	n/a	n/a	n/a
2013	Dec 3, 2013	$4.0B	$4.0B	19	8	n/a	n/a	n/a
2012	Dec 19, 2012	$3.1B	$3.1B	20	9	n/a	n/a	n/a
2011	Dec 5, 2011	$801M	$801M	n/a	n/a	n/a	1	$1.4M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$4.3B	$3.1B	38.4%	$4.1B	1.2%	19	17	3	3

Relationships

Registered with (1)

← BRIAN CAMERON CARLSONAdvisorregistration: current employment
Sep 2, 2014 to presentfactForm ADV

Controls (10)

← NILSEN, TERESA, MARIANIOwnerPRESIDENT, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← HENNESSY, BRIAN, ANTHONYOwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← STEADMAN, DANIEL, BRUCEOwnerEXECUTIVE VICE PRESIDENT & SHAREHOLDER, ownership code NA, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← FAHY, KATHRYN, ROSEOwnerCHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER, ownership code NA, individual
Jan 30, 2018 to Dec 16, 2024factForm ADV
← SEAVEY, THOMAS, LAWRENCEOwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← HANSEL, HENRY, CURTISOwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← POMILIA, SUSAN, WEBEROwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 16, 2014 to Dec 16, 2024factForm ADV
← HENNESSY, NEIL, JOSEPHOwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER, ownership code C, individual
Dec 5, 2011 to Dec 16, 2024factForm ADV
← Knight-O'Riordan, Lydia, DawnOwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Dec 23, 2021 to Dec 16, 2024factForm ADV
← Newton, Kiera, MarkaleOwnerDIRECTOR & SHAREHOLDER, ownership code NA, individual
Jan 3, 2023 to Dec 16, 2024factForm ADV

Owns (2)

← CARLSON, BRIAN, CAMERONOwnerCHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER, ownership code NA, individual
Jan 30, 2018 to Dec 16, 2024factForm ADV
← EMERSON, JENNIFER, LYNNOwnerGENERAL COUNSEL & SHAREHOLDER, ownership code NA, individual
Dec 3, 2013 to Dec 16, 2024factForm ADV

Advises (1)

→ HENNESSY MICRO CAP GROWTH FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Dec 5, 2011 to Mar 6, 2012factForm ADV

Dated events

Occurred
Dec 16, 2024
Regulatory AUM changed
Hennessy Advisors, Inc. reported RAUM $5.1B, up 68% from $3.1B (2023-12-15 to 2024-12-16)
Form ADVobserved 4 days ago
$2.1B
Occurred
Jan 3, 2023
Regulatory AUM changed
Hennessy Advisors, Inc. reported RAUM $3.0B, down 27% from $4.1B (2021-12-23 to 2023-01-03)
Form ADVobserved 4 days ago
$-1.1B
Occurred
Jan 3, 2023
Control person left
George Daniel Libarle (Director & Shareholder) no longer on Schedule A of Hennessy Advisors, Inc. (listed 2021-12-23, absent 2023-01-03)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2023
Control person left
Dean Rodger Offenbach (Director & Shareholder) no longer on Schedule A of Hennessy Advisors, Inc. (listed 2021-12-23, absent 2023-01-03)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2023
Control person joined
Markale Kiera Newton (Director) appeared on Schedule A of Hennessy Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Dec 23, 2021
Control person joined
Dawn Lydia Knight-O'Riordan (Director) appeared on Schedule A of Hennessy Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Dec 10, 2020
Regulatory AUM changed
Hennessy Advisors, Inc. reported RAUM $3.6B, down 28% from $4.9B (2019-12-18 to 2020-12-10)
Form ADVobserved 4 days ago
$-1.4B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a255d2e-180c-6c95-a385-ddf140feeaa3
First observed: Dec 5, 2011
Last observed: Nov 14, 2025 10 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HENNESSY ADVISORS, INC.

CRD 110770

NOVATO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1a255d2e-180c-6c95-a385-ddf140feeaa3

Data as of Nov 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN CAMERON CARLSON

Chartered Financial Consultant

NOVATO, CA

yes

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HENNESSY MICRO CAP GROWTH FUND, LLC

Hedge Fund

$1.5M

Mar 6, 2012

Dec 5, 2011

dropped

021-108996

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAHY, KATHRYN, ROSE

CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER

yes

01/2018

Jan 30, 2018

Dec 16, 2024

HANSEL, HENRY, CURTIS

DIRECTOR & SHAREHOLDER

yes

05/2001

Dec 5, 2011

Dec 16, 2024

HENNESSY, BRIAN, ANTHONY

DIRECTOR & SHAREHOLDER

yes

02/1989

Dec 5, 2011

Dec 16, 2024

HENNESSY, NEIL, JOSEPH

CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER

yes

01/2018

Dec 5, 2011

Dec 16, 2024

Knight-O'Riordan, Lydia, Dawn

DIRECTOR & SHAREHOLDER

yes

12/2021

Dec 23, 2021

Dec 16, 2024

Newton, Kiera, Markale

DIRECTOR & SHAREHOLDER

yes

12/2022

Jan 3, 2023

Dec 16, 2024

NILSEN, TERESA, MARIANI

PRESIDENT, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER

yes

01/2018

Dec 5, 2011

Dec 16, 2024

POMILIA, SUSAN, WEBER

DIRECTOR & SHAREHOLDER

yes

04/2014

Dec 16, 2014

Dec 16, 2024

SEAVEY, THOMAS, LAWRENCE

DIRECTOR & SHAREHOLDER

yes

05/2001

Dec 5, 2011

Dec 16, 2024

STEADMAN, DANIEL, BRUCE

EXECUTIVE VICE PRESIDENT & SHAREHOLDER

yes

12/2022

Dec 5, 2011

Dec 16, 2024

CARLSON, BRIAN, CAMERON

CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER

01/2018

Jan 30, 2018

Dec 16, 2024

EMERSON, JENNIFER, LYNN

GENERAL COUNSEL & SHAREHOLDER

06/2013

Dec 3, 2013

Dec 16, 2024

City

State

Country

Employees

Also broker-dealer

CHAPEL HILL

United States

Boston

United States

Dallas

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Dec 16, 2024

$5.1B

n/a

2023

Dec 15, 2023

$3.1B

n/a

2022

Jan 3, 2023

$3.0B

n/a

2021

Dec 23, 2021

$4.1B

n/a

2020

Dec 10, 2020

$3.6B

n/a

2019

Dec 18, 2019

$4.9B

n/a

2018

Dec 19, 2018

$5.8B

n/a

2017

Dec 15, 2017

$6.7B

n/a

2016

Dec 15, 2016

$6.4B

n/a

2015

Dec 14, 2015

$6.0B

n/a

2014

Dec 16, 2014

$5.5B

n/a

2013

Dec 3, 2013

$4.0B

n/a

2012

Dec 19, 2012

$3.1B

n/a

2011

Dec 5, 2011

$801M

n/a

$1.4M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$4.3B

$3.1B

38.4%

$4.1B

1.2%