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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

W.R. HUFF ASSET MANAGEMENT CO., L.L.C.

CRD 107100

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:3149b88c-c4dd-c9eb-87ce-130642ecc88b

Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Mar 18, 2019
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $87.0MItem 5.F on the latest filing (2019-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $87.0M
Private client RAUM: $75.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 19
Individual clients: 4
High net worth clients: 14
SEC number: 801-32541
CRD: 107100
Filings on the tape: 9
First filed: Mar 29, 2012
Latest filed: Mar 18, 2019
Organised: Limited Liability Company, Delaware

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
HUFF, WILLIAM, ROBERT	President	E	yes	07/1994	Mar 29, 2012	Mar 18, 2019
HUFF, WILLIAM, ROBERT	CHIEF INVESTMENT OFFICER	E	yes	07/1994	Mar 29, 2012	Mar 18, 2019
KATO-SAN CORP.	Manager	Na	yes	07/1994	Mar 29, 2012	Mar 18, 2019
MARKEY, CATHY, JANE	CHIEF COMPLIANCE OFFICER	Na	no	06/2015	Mar 21, 2016	Mar 18, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W.R. HUFF CM, LLC	n/a	Former SEC adviser	$244M	N	yes	n/a
WRH ENERGY PARTNERS, L.L.C.	n/a	n/a	n/a	N	yes	n/a
WRH PARTNERS II, L.L.C.	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Morristown	Nj	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
2018	Mar 18, 2019	$87.0M	$87.0M	4	2	1	n/a	n/a
2017	Mar 19, 2018	$174M	$174M	9	6	1	n/a	n/a
2016	Mar 22, 2017	$405M	$405M	11	7	n/a	n/a	n/a
2015	Mar 21, 2016	$406M	$406M	13	8	n/a	n/a	n/a
2014	Mar 23, 2015	$600M	$600M	14	9	n/a	n/a	n/a
2013	Mar 31, 2014	$866M	$866M	19	12	n/a	n/a	n/a
2012	Mar 26, 2013	$1.1B	$1.1B	20	14	n/a	n/a	n/a
2011	Mar 29, 2012	$1.7B	$1.7B	n/a	n/a	n/a	n/a	n/a

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
2018	$87.0M	$174M	-49.9%	$406M	-40.2%	4	9	1	1

Relationships

Affiliated with (3)

→ W.R. HUFF CM, LLCRegistered adviserother investment adviser, common control
factForm ADV
← W.R. HUFF CM, LLCRegistered adviserother investment adviser, common control
factForm ADV
← WRH PARTNERS GLOBAL SECURITIES LPRegistered adviserother investment adviser, common control
factForm ADV

Owns (1)

← MARKEY, CATHY, JANEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2016 to presentfactForm ADV

Controls (2)

← HUFF, WILLIAM, ROBERTOwnerPRESIDENT, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← KATO-SAN CORP.OwnerMANAGER, ownership code NA, domestic entity
Mar 29, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 19, 2018
Regulatory AUM changed
W.R. Huff Asset Management Co., L.L.C. reported RAUM $173.7M, down 57% from $405.2M (2017-03-22 to 2018-03-19)
Form ADVobserved 5 days ago
$-232M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3149b88c-c4dd-c9eb-87ce-130642ecc88b
First observed: Mar 29, 2012
Last observed: Mar 18, 2019 91 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.

W.R. HUFF ASSET MANAGEMENT CO., L.L.C.

CRD 107100

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:3149b88c-c4dd-c9eb-87ce-130642ecc88b

Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HUFF, WILLIAM, ROBERT

President

yes

07/1994

Mar 29, 2012

Mar 18, 2019

HUFF, WILLIAM, ROBERT

CHIEF INVESTMENT OFFICER

yes

07/1994

Mar 29, 2012

Mar 18, 2019

KATO-SAN CORP.

Manager

yes

07/1994

Mar 29, 2012

Mar 18, 2019

MARKEY, CATHY, JANE

CHIEF COMPLIANCE OFFICER

06/2015

Mar 21, 2016

Mar 18, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

W.R. HUFF CM, LLC

n/a

Former SEC adviser

$244M

yes

n/a

WRH ENERGY PARTNERS, L.L.C.

n/a

yes

n/a

WRH PARTNERS II, L.L.C.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Morristown

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 18, 2019

$87.0M

n/a

2017

Mar 19, 2018

$174M

n/a

2016

Mar 22, 2017

$405M

n/a

2015

Mar 21, 2016

$406M

n/a

2014

Mar 23, 2015

$600M

n/a

2013

Mar 31, 2014

$866M

n/a

2012

Mar 26, 2013

$1.1B

n/a

2011

Mar 29, 2012

$1.7B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$87.0M

$174M

-49.9%

$406M

-40.2%