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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.

CRD 125791

GLASTONBURY, 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:9ae198fd-b60f-649e-f865-6fda40af4e7b

Data as of Oct 6, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 1
Observed: Mar 16, 2012 to Oct 6, 2023
32 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Hooker & Holcombe Investment Advisors, Inc.

Investment consultant · shared crd

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: $478MItem 5.F on the latest filing (2023-10-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $242M
Private client RAUM: $10.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 72
Individual clients: 0
High net worth clients: 5
SEC number: 801-61958
CRD: 125791
Filings on the tape: 32
First filed: Mar 16, 2012
Latest filed: Oct 6, 2023
Organised: Corporation, 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
HOOKER & HOLCOMBE, INC.	SOLE SHAREHOLDER	E	yes	08/1996	Mar 16, 2012	Oct 6, 2023
KULIK, BRIAN	SECRETARY AND TREASURER	Na	yes	06/2021	Mar 29, 2022	Oct 6, 2023
METZGER, RODGER, KARL	PRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN	Na	yes	01/2012	Mar 16, 2012	Oct 6, 2023
Minish, Pamela, E	Director	Na	no	06/2020	Mar 23, 2021	Oct 6, 2023
SYCH, RICHARD	Director	Na	no	07/2011	Mar 24, 2014	Oct 6, 2023

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
USI ADVISORS, INC.	n/a	Institutional manager	$56B	N	yes	n/a
USI SECURITIES, INC.	n/a	No RAUM reported	$0	N	yes	n/a
HOOKER & HOLCOMBE, INC.	n/a	n/a	n/a	Y	no	n/a
USI CONSULTING GROUP, INC.	n/a	n/a	n/a	Y	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
2022	Mar 30, 2023	$478M	$242M	7	7	0	n/a	n/a
2021	Mar 29, 2022	$543M	$252M	8	8	0	n/a	n/a
2020	Mar 23, 2021	$486M	$217M	7	7	0	n/a	n/a
2019	Mar 27, 2020	$598M	$201M	7	7	0	n/a	n/a
2018	Mar 27, 2019	$519M	$170M	7	7	0	n/a	n/a
2017	Mar 16, 2018	$490M	$133M	8	8	0	n/a	n/a
2016	Mar 31, 2017	$355M	$55.0M	8	8	n/a	n/a	n/a
2015	Mar 24, 2016	$329M	$46.5M	7	7	n/a	n/a	n/a
2014	Mar 17, 2015	$363M	$44.4M	7	7	n/a	n/a	n/a
2013	Mar 24, 2014	$295M	$4.9M	6	6	n/a	n/a	n/a
2012	Mar 13, 2013	$265M	$0	7	7	n/a	n/a	n/a
2011	Mar 16, 2012	$236M	$0	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
2022	$478M	$543M	-12.1%	$598M	-7.2%	7	8	0	0

Relationships

Affiliated with (2)

→ USI ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ USI SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Owns (2)

← Minish, Pamela, EOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2021 to presentfactForm ADV
← SYCH, RICHARDOwnerDIRECTOR, ownership code NA, individual
Mar 24, 2014 to presentfactForm ADV

Controls (3)

← METZGER, RODGER, KARLOwnerPRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← KULIK, BRIANOwnerSECRETARY AND TREASURER, ownership code NA, individual
Mar 29, 2022 to presentfactForm ADV
← HOOKER & HOLCOMBE, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 16, 2012 to presentfactForm ADV

Registered with (7)

← Stuart Howard HerskowitzAdvisorregistration: previous registration
Feb 11, 1997 to Dec 31, 2023factForm ADV
← Pamela E MinishAdvisorregistration: previous registration
Mar 13, 2019 to Dec 31, 2023factForm ADV
← Peter Davidson GaneyAdvisorregistration: previous registration
Dec 5, 2016 to Jan 14, 2019factForm ADV
← KATHRYN JANE PIZZIAdvisorregistration: previous registration
Jan 4, 2017 to Oct 31, 2018factForm ADV
← JONATHAN SCOTT GRUBERAdvisorregistration: previous registration
Feb 28, 2013 to Apr 2, 2018factForm ADV
← EKATERINI ROBERTSAdvisorregistration: previous registration
Mar 16, 2015 to Oct 12, 2017factForm ADV
← JONIDA MUCKA PAPAJANIAdvisorregistration: previous registration
Feb 1, 2013 to Oct 2, 2017factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
Stuart Howard Herskowitz left Hooker & Holcombe Investment Advisors, Inc. for Ensemble Financial Services, Inc. (registered 2003-10-24)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Pamela E Minish left Hooker & Holcombe Investment Advisors, Inc. for Usi Advisors (registered 2023-10-26)
Form ADVobserved 3 days ago
Occurred
Mar 29, 2022
Control person joined
Brian Kulik (Chief Compliance Officer) appeared on Schedule A of Hooker & Holcombe Investment Advisors, Inc.
Form ADVobserved 3 days ago
Occurred
Mar 29, 2022
Control person left
Nelson John Fuller (Chief Compliance Officer) no longer on Schedule A of Hooker & Holcombe Investment Advisors, Inc. (listed 2021-03-23, absent 2022-03-29)
Form ADVobserved 3 days ago
Occurred
Mar 16, 2018
Regulatory AUM changed
Hooker & Holcombe Investment Advisors, Inc. reported RAUM $490.4M, up 38% from $355.1M (2017-07-17 to 2018-03-16)
Form ADVobserved 3 days ago
$135M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ae198fd-b60f-649e-f865-6fda40af4e7b
First observed: Mar 16, 2012
Last observed: Oct 6, 2023 35 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.

HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.

CRD 125791

GLASTONBURY, 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:9ae198fd-b60f-649e-f865-6fda40af4e7b

Data as of Oct 6, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOOKER & HOLCOMBE, INC.

SOLE SHAREHOLDER

yes

08/1996

Mar 16, 2012

Oct 6, 2023

KULIK, BRIAN

SECRETARY AND TREASURER

yes

06/2021

Mar 29, 2022

Oct 6, 2023

METZGER, RODGER, KARL

PRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN

yes

01/2012

Mar 16, 2012

Oct 6, 2023

Minish, Pamela, E

Director

06/2020

Mar 23, 2021

Oct 6, 2023

SYCH, RICHARD

Director

07/2011

Mar 24, 2014

Oct 6, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

USI ADVISORS, INC.

n/a

Institutional manager

$56B

yes

n/a

USI SECURITIES, INC.

n/a

No RAUM reported

yes

n/a

HOOKER & HOLCOMBE, INC.

n/a

USI CONSULTING GROUP, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 30, 2023

$478M

$242M

n/a

2021

Mar 29, 2022

$543M

$252M

n/a

2020

Mar 23, 2021

$486M

$217M

n/a

2019

Mar 27, 2020

$598M

$201M

n/a

2018

Mar 27, 2019

$519M

$170M

n/a

2017

Mar 16, 2018

$490M

$133M

n/a

2016

Mar 31, 2017

$355M

$55.0M

n/a

2015

Mar 24, 2016

$329M

$46.5M

n/a

2014

Mar 17, 2015

$363M

$44.4M

n/a

2013

Mar 24, 2014

$295M

$4.9M

n/a

2012

Mar 13, 2013

$265M

n/a

2011

Mar 16, 2012

$236M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$478M

$543M

-12.1%

$598M

-7.2%