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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

HHG & COMPANY, LLC

CRD 104769

DARIEN, CT

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:62a114f9-46f2-b0e7-4500-04fdedc53714

Data as of Mar 31, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2016
11 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: $1.1BItem 5.F on the latest filing (2016-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
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: 0
Employees: 19
Advisory employees: 8
Accounts: 1,701
Custody, client assets: $348M
SEC number: 801-28129
CRD: 104769
Filings on the tape: 11
First filed: Mar 28, 2012
Latest filed: Mar 31, 2016
Organised: Limited Liability Company, Connecticut

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
GLENNON, PHILIP, NICHOLAS	Member	C	yes	04/1986	Mar 28, 2012	Mar 31, 2016
HIMMELREICH, DAVID, BAKER	Member	C	yes	04/1986	Mar 28, 2012	Mar 31, 2016
HYNES, THOMAS, WILLIAM	Member	C	yes	04/1986	Mar 28, 2012	Mar 31, 2016
STAPLETON, GEORGE, JOSEPH	CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	10/2009	Mar 28, 2012	Mar 31, 2016
ZOPFI, GERARD, DENNIS	Member	B	yes	12/2001	Mar 28, 2012	Mar 31, 2016
PENNOYER, LORRAINE, CANAL	Member	Na	no	04/1986	Mar 28, 2012	Mar 31, 2016

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
MANHATTAN ATLANTIC PARTNERS IV, LP, MANHATTAN ATLANTIC PARTNERS VI, LP	n/a	n/a	n/a	N	yes	n/a

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
2015	Mar 31, 2016	$1.1B	$1.0B	19	8	n/a	n/a	n/a
2014	Mar 27, 2015	$1.1B	$1.0B	19	9	n/a	n/a	n/a
2013	Mar 24, 2014	$1.1B	$1.0B	19	9	n/a	n/a	n/a
2012	Mar 28, 2013	$1.2B	$1.1B	19	7	n/a	n/a	n/a
2011	Mar 28, 2012	$1.0B	$931M	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
2015	$1.1B	$1.1B	1.8%	$1.2B	-2.5%	19	19	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	6	Jun 3, 2016	Jun 2, 2016	DARIEN, CT	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← GLENNON, PHILIP, NICHOLASOwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← HIMMELREICH, DAVID, BAKEROwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← ZOPFI, GERARD, DENNISOwnerMEMBER, ownership code B, individual
Mar 28, 2012 to presentfactForm ADV
← STAPLETON, GEORGE, JOSEPHOwnerCHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← HYNES, THOMAS, WILLIAMOwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← PENNOYER, LORRAINE, CANALOwnerMEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (11)

← DAVID BAKER HIMMELREICHAdvisorregistration: previous registration
Feb 3, 1989 to Jun 3, 2016factForm ADV
← GERARD DENNIS ZOPFIAdvisorregistration: previous registration
Jul 2, 1993 to Jun 3, 2016factForm ADV
← PAUL PAPAPOSTOLOUAdvisorregistration: previous registration
Dec 2, 2011 to Jun 3, 2016factForm ADV
← GERARD DENNIS ZOPFIAdvisorregistration: previous registration
May 8, 2012 to Jun 3, 2016factForm ADV
← Mark Louis GuastaferriAdvisorregistration: previous registration
Sep 21, 2015 to Jun 3, 2016factForm ADV
← Lane Leidy MarmonAdvisorregistration: previous registration
Mar 21, 2016 to Jun 3, 2016factForm ADV
← Charles William FalzoneAdvisorregistration: previous registration
Sep 9, 2014 to Mar 23, 2016factForm ADV
← STEVEN MONDOLINOAdvisorregistration: previous registration
Jan 28, 2014 to Jul 8, 2015factForm ADV
← BRENDAN LAUDER MCEWANAdvisorregistration: previous registration
Dec 9, 2013 to Apr 21, 2015factForm ADV
← THOMAS MATTHEW JUSTERAdvisorregistration: previous registration
Jun 21, 2012 to Oct 7, 2014factForm ADV
← MAKENNA RITTER FLAGGAdvisorregistration: previous registration
May 8, 2000 to Oct 19, 2004factForm ADV

Moved with (1)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviser6 advisors, firm absorbed, same day
Jun 3, 2016 to Jun 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62a114f9-46f2-b0e7-4500-04fdedc53714
First observed: Mar 28, 2012
Last observed: Mar 31, 2016 127 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.

HHG & COMPANY, LLC

CRD 104769

DARIEN, CT

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:62a114f9-46f2-b0e7-4500-04fdedc53714

Data as of Mar 31, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GLENNON, PHILIP, NICHOLAS

Member

yes

04/1986

Mar 28, 2012

Mar 31, 2016

HIMMELREICH, DAVID, BAKER

Member

yes

04/1986

Mar 28, 2012

Mar 31, 2016

HYNES, THOMAS, WILLIAM

Member

yes

04/1986

Mar 28, 2012

Mar 31, 2016

STAPLETON, GEORGE, JOSEPH

CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER

yes

10/2009

Mar 28, 2012

Mar 31, 2016

ZOPFI, GERARD, DENNIS

Member

yes

12/2001

Mar 28, 2012

Mar 31, 2016

PENNOYER, LORRAINE, CANAL

Member

04/1986

Mar 28, 2012

Mar 31, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MANHATTAN ATLANTIC PARTNERS IV, LP, MANHATTAN ATLANTIC PARTNERS VI, LP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 31, 2016

$1.1B

$1.0B

n/a

2014

Mar 27, 2015

$1.1B

$1.0B

n/a

2013

Mar 24, 2014

$1.1B

$1.0B

n/a

2012

Mar 28, 2013

$1.2B

$1.1B

n/a

2011

Mar 28, 2012

$1.0B

$931M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$1.1B

1.8%

$1.2B

-2.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Jun 3, 2016

Jun 2, 2016

DARIEN, CT

Firm absorbed

Other

100.0%