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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

HOLLOW BROOK WEALTH MANAGEMENT LLC

CRD 145521

KATONAH, NY

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Search this name across graphsid dfx:ria:cb094cf1-e203-f668-765e-22ad0a4d2f73

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 1
Observed: Mar 30, 2012 to Mar 30, 2026
23 observations

Across DFX

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

Independent Sponsorsidentity

HOLLOW BROOK WEALTH MANAGEMENT LLC

Intermediary · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $833M
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $1.4Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 18
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 603
Individual clients: 90
High net worth clients: 459
Custody, client assets: $230M
SEC number: 801-68599
CIK: 1455251
CRD: 145521
Filings on the tape: 23
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, NY
Website: hbwmllc.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
PHILIP ERNST RICHTER	n/a	KATONAH, NY	2	21	n/a	no

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
PILOTROCK CONCENTRATED FUND, LP	Hedge Fund	$5.8M	Mar 30, 2012	7	Mar 30, 2012	dropped	021-108838

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
BAZAAR, ALAN, LEE	CEO & CO-CHIEF INVESTMENT OFFICER	D	yes	01/2014	Mar 30, 2026	Mar 30, 2026
RICHTER, PHILIP, ERNST	PRESIDENT, FOUNDER & CO- CHIEF INVESTMENT OFFICER, CCO	D	yes	01/2014	Mar 30, 2026	Mar 30, 2026
NORDBERG, EDGAR, WAYNE	Chairman	Na	yes	01/1999	Mar 30, 2012	Mar 29, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Wellington	FL	United States	1	no
n/a	n/a	n/a	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
2025	Mar 30, 2026	$1.4B	$833M	18	4	1	n/a	n/a
2024	Mar 30, 2025	$1.2B	$685M	15	3	1	n/a	n/a
2023	Mar 29, 2024	$1.0B	$486M	13	6	3	n/a	n/a
2022	Mar 29, 2023	$957M	$421M	13	6	0	n/a	n/a
2021	Mar 30, 2022	$898M	$293M	13	7	0	n/a	n/a
2020	Mar 29, 2021	$721M	$255M	12	6	0	n/a	n/a
2019	Mar 27, 2020	$935M	$283M	12	5	0	n/a	n/a
2018	Apr 2, 2019	$744M	$149M	10	5	0	n/a	n/a
2017	Mar 30, 2018	$560M	$186M	9	4	0	n/a	n/a
2016	Mar 31, 2017	$574M	$267M	9	4	n/a	n/a	n/a
2015	Mar 29, 2016	$635M	$235M	11	6	n/a	n/a	n/a
2014	Mar 31, 2015	$350M	$350M	11	7	n/a	n/a	n/a
2013	Mar 31, 2014	$366M	$366M	9	6	n/a	n/a	n/a
2012	Mar 27, 2013	$327M	$327M	9	5	n/a	n/a	n/a
2011	Mar 30, 2012	$1.7B	$378M	n/a	n/a	n/a	1	$5.8M

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
2025	$1.4B	$1.2B	14.2%	$957M	12.6%	18	15	1	1

Relationships

Registered with (1)

← PHILIP ERNST RICHTERAdvisorregistration: current employment
Apr 17, 2024 to presentfactForm ADV

Controls (3)

← NORDBERG, EDGAR, WAYNEOwnerCHAIRMAN, ownership code NA, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV
← RICHTER, PHILIP, ERNSTOwnerPRESIDENT / CCO, ownership code D, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV
← BAZAAR, ALAN, LEEOwnerCEO, ownership code D, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV

Advises (1)

→ PILOTROCK CONCENTRATED FUND, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 30, 2012factForm ADV

Dated events

Occurred
Mar 27, 2020
Regulatory AUM changed
Hollow Brook Wealth Management Llc reported RAUM $934.9M, up 26% from $743.6M (2019-04-02 to 2020-03-27)
Form ADVobserved 5 days ago
$191M
Occurred
Apr 2, 2019
Regulatory AUM changed
Hollow Brook Wealth Management Llc reported RAUM $743.6M, up 33% from $560.0M (2018-10-03 to 2019-04-02)
Form ADVobserved 5 days ago
$184M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb094cf1-e203-f668-765e-22ad0a4d2f73
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.

HOLLOW BROOK WEALTH MANAGEMENT LLC

CRD 145521

KATONAH, NY

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:cb094cf1-e203-f668-765e-22ad0a4d2f73

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILIP ERNST RICHTER

n/a

KATONAH, NY

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PILOTROCK CONCENTRATED FUND, LP

Hedge Fund

$5.8M

Mar 30, 2012

dropped

021-108838

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAZAAR, ALAN, LEE

CEO & CO-CHIEF INVESTMENT OFFICER

yes

01/2014

Mar 30, 2026

RICHTER, PHILIP, ERNST

PRESIDENT, FOUNDER & CO- CHIEF INVESTMENT OFFICER, CCO

yes

01/2014

Mar 30, 2026

NORDBERG, EDGAR, WAYNE

Chairman

yes

01/1999

Mar 30, 2012

Mar 29, 2024

City

State

Country

Employees

Also broker-dealer

Wellington

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$1.4B

$833M

n/a

2024

Mar 30, 2025

$1.2B

$685M

n/a

2023

Mar 29, 2024

$1.0B

$486M

n/a

2022

Mar 29, 2023

$957M

$421M

n/a

2021

Mar 30, 2022

$898M

$293M

n/a

2020

Mar 29, 2021

$721M

$255M

n/a

2019

Mar 27, 2020

$935M

$283M

n/a

2018

Apr 2, 2019

$744M

$149M

n/a

2017

Mar 30, 2018

$560M

$186M

n/a

2016

Mar 31, 2017

$574M

$267M

n/a

2015

Mar 29, 2016

$635M

$235M

n/a

2014

Mar 31, 2015

$350M

n/a

2013

Mar 31, 2014

$366M

n/a

2012

Mar 27, 2013

$327M

n/a

2011

Mar 30, 2012

$1.7B

$378M

n/a

$5.8M

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

2025

$1.4B

$1.2B

14.2%

$957M

12.6%