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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

MOLLOT & HARDY, INC.

CRD 128377

AMHERST, 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:d0e87e6b-4564-d636-09c0-53d01b84c4c2

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Mar 7, 2018 to Mar 13, 2026
19 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: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $80.6MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $67.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $40.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 81
Individual clients: 67
High net worth clients: 10
SEC number: 801-112787
CRD: 128377
Filings on the tape: 19
First filed: Mar 7, 2018
Latest filed: Mar 13, 2026
Organised: Corporation, NY

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
SANFORD GARRY SEIDE	n/a	AMHERST, NY	2	20	2	yes
ALAN RICHARD MOLLOT	Certified Financial Planner\|Chartered Financial Consultant	AMHERST, NY	2	40	2	yes

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
MOLLOT, ALAN, RICHARD	PRESIDENT; CCO	E	yes	03/1972	Mar 7, 2018	Dec 5, 2024

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 13, 2026	$80.6M	$0	2	2	0	n/a	n/a
2024	Mar 17, 2025	$73.2M	$59.2M	2	2	0	n/a	n/a
2023	Mar 20, 2024	$77.7M	$63.2M	3	3	0	n/a	n/a
2022	Mar 16, 2023	$75.9M	$0	4	4	0	n/a	n/a
2021	Mar 13, 2022	$73.5M	$73.5M	4	4	0	n/a	n/a
2020	Feb 22, 2021	$101M	$0	4	4	1	n/a	n/a
2019	Mar 30, 2020	$74.9M	$0	5	5	1	n/a	n/a
2018	Mar 21, 2019	$57.2M	$57.2M	5	5	1	n/a	n/a

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	1	4

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	$80.6M	$73.2M	10.1%	$75.9M	2.0%	2	2	0	0

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
OSAIC WEALTH, INC.	3	Dec 31, 2023	Nov 3, 2023	AMHERST, NY	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FSC SECURITIES CORPORATION	3	Nov 3, 2023	May 17, 2023	AMHERST, NY	Team lift out	Ibd to RIA	0.6%

Relationships

Registered with (3)

← ALAN RICHARD MOLLOTAdvisorregistration: previous registration
May 17, 2023 to Dec 31, 2023factForm ADV
← SANFORD GARRY SEIDEAdvisorregistration: previous registration
May 17, 2023 to Dec 31, 2023factForm ADV
← BRYAN SALAS CASTROAdvisorregistration: previous registration
Jan 11, 2024 to May 7, 2024factForm ADV

Controls (1)

← MOLLOT, ALAN, RICHARDOwnerPRESIDENT; CCO, ownership code E, individual
Mar 7, 2018 to Dec 5, 2024factForm ADV

Moved with (2)

→ OSAIC WEALTH, INC.Registered adviser3 advisors, firm absorbed, same day
Dec 31, 2023 to Nov 3, 2023factForm ADV
← FSC SECURITIES CORPORATIONRegistered adviser3 advisors, team lift out, same day
Nov 3, 2023 to May 17, 2023factForm ADV

Dated events

Occurred
May 7, 2024
Advisor changed firm
Bryan Salas Castro left Mollot & Hardy, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2024-05-02)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Firm absorbed
Mollot & Hardy, Inc.'s advisors moved to Osaic Wealth, Inc. (Amherst, NY): 3 of 3 registered, on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Dec 31, 2023
Advisor changed firm
Alan Richard Mollot left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Sanford Garry Seide left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Bryan Salas Castro left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2023
Team lift-out
3 advisors left Fsc Securities Corporation (Amherst, NY) for Mollot & Hardy, Inc. on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Mar 7, 2018
First Form ADV filing
Mollot & Hardy, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0e87e6b-4564-d636-09c0-53d01b84c4c2
First observed: Mar 7, 2018
Last observed: Mar 13, 2026 6 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.

MOLLOT & HARDY, INC.

CRD 128377

AMHERST, 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:d0e87e6b-4564-d636-09c0-53d01b84c4c2

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SANFORD GARRY SEIDE

n/a

AMHERST, NY

yes

ALAN RICHARD MOLLOT

Certified Financial Planner|Chartered Financial Consultant

AMHERST, NY

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MOLLOT, ALAN, RICHARD

PRESIDENT; CCO

yes

03/1972

Mar 7, 2018

Dec 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$80.6M

n/a

2024

Mar 17, 2025

$73.2M

$59.2M

n/a

2023

Mar 20, 2024

$77.7M

$63.2M

n/a

2022

Mar 16, 2023

$75.9M

n/a

2021

Mar 13, 2022

$73.5M

n/a

2020

Feb 22, 2021

$101M

n/a

2019

Mar 30, 2020

$74.9M

n/a

2018

Mar 21, 2019

$57.2M

n/a

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

$80.6M

$73.2M

10.1%

$75.9M

2.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Dec 31, 2023

Nov 3, 2023

AMHERST, NY

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FSC SECURITIES CORPORATION

Nov 3, 2023

May 17, 2023

AMHERST, NY

Team lift out

Ibd to RIA

0.6%