DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Mollot & Hardy, Inc.
Latest filing Mar 13, 2026
First filing on the tape Mar 7, 2018 · 19 filings
SEC status approved since Apr 6, 2018
RAUM
$80.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
84%
$67.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$40.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$80.6M as of Mar 13, 2026
Mar 21, 2019$57.2M then
HNW client RAUM$55.2M as of Mar 13, 2026
Mar 21, 2019$0 then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 21, 20195 then
Employees (5.A)2 as of Mar 13, 2026
Mar 21, 20195 then
Private funds: no history
RAUM +10% over the last fiscal year+2.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $40.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $995,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$55.2M69%
- Pension and profit-sharing plans$13.0M16%
- Individuals$12.4M15%
- Individual clients
- 67reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 81reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Richard MollotCertified Financial Planner, Chartered Financial Consultant | Amherst, Ny | Nov 3, 2023 | 40 y | 2 |
| Sanford Garry Seide | Amherst, Ny | Nov 3, 2023 | 20 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- Bryan Salas Castro to Cambridge Investment Research Advisors, Inc.May 7, 2024 · RIA to affiliated broker-dealer or bank
- Bryan Salas Castro to Osaic Wealth, Inc.Dec 31, 2023 · RIA to affiliated broker-dealer or bank
- Alan Richard Mollot to Osaic Wealth, Inc.Dec 31, 2023 · RIA to affiliated broker-dealer or bank
- Sanford Garry Seide to Osaic Wealth, Inc.Dec 31, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Bryan Salas Castro from Osaic Wealth, Inc.Jan 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- Bryan Salas Castro from Fsc Securities CorporationMay 17, 2023 · Affiliated broker-dealer or bank to independent RIA
- Alan Richard Mollot from Fsc Securities CorporationMay 17, 2023 · Affiliated broker-dealer or bank to independent RIA
- Sanford Garry Seide from Fsc Securities CorporationMay 17, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Osaic Wealth, Inc.Dec 31, 2023 · Amherst, Ny · Firm absorbed
- 3 joined from Fsc Securities CorporationNov 3, 2023 · Amherst, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Alan Mollot · President; Ccocontrolsince 03/1972 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Amherst, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
- business activity changedChange between filings · filing Mar 13, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-17, no on the filing of 2026-03-13peers: independent wealth managers, under $100M (704)
- discretionary share shiftChange between filings · filing Mar 13, 2026discretionary share of RAUM moved from 81.0% to 0.0% between the annual amendments of 2025-03-17 and 2026-03-13peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 148 to 81Mar 17, 2025 to Mar 13, 2026
- HNW clients · 9 to 10Mar 17, 2025 to Mar 13, 2026
- Individual clients · 64 to 67Mar 17, 2025 to Mar 13, 2026
- Pension plan clients · 5.0 to unsetMar 17, 2025 to Mar 13, 2026
- Discretionary RAUM · $59.2M to $0Mar 17, 2025 to Mar 13, 2026
- HNW RAUM · $45.4M to $55.2MMar 17, 2025 to Mar 13, 2026
- Individual RAUM · $13.8M to $12.4MMar 17, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $14.0M to $80.6MMar 17, 2025 to Mar 13, 2026
- Pension RAUM · $14.0M to $13.0MMar 17, 2025 to Mar 13, 2026
- RAUM · $73.2M to $80.6MMar 17, 2025 to Mar 13, 2026
- Wrap assets (manager) · 3713100.0 to unsetMar 17, 2025 to Mar 13, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 17, 2025 to Mar 13, 2026
- Accounts · 236 to 148Dec 5, 2024 to Mar 17, 2025
- Advisory employees · 3 to 2Dec 5, 2024 to Mar 17, 2025
- BD registered reps · 3 to 2Dec 5, 2024 to Mar 17, 2025
- HNW clients · 25 to 9Dec 5, 2024 to Mar 17, 2025
- Individual clients · 137 to 64Dec 5, 2024 to Mar 17, 2025
- Employees · 3 to 2Dec 5, 2024 to Mar 17, 2025
- Insurance-licensed employees · 0 to 2Dec 5, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 51-100Dec 5, 2024 to Mar 17, 2025
- State-registered IARs · 3 to 2Dec 5, 2024 to Mar 17, 2025
- Discretionary RAUM · $63.2M to $59.2MDec 5, 2024 to Mar 17, 2025
- HNW RAUM · $45.8M to $45.4MDec 5, 2024 to Mar 17, 2025
- Individual RAUM · $17.3M to $13.8MDec 5, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $14.6M to $14.0MDec 5, 2024 to Mar 17, 2025
- Pension RAUM · $14.6M to $14.0MDec 5, 2024 to Mar 17, 2025
- RAUM · $77.7M to $73.2MDec 5, 2024 to Mar 17, 2025
- Accounts · 181 to 236Jan 8, 2024 to Mar 20, 2024
- Advisory employees · 4 to 3Jan 8, 2024 to Mar 20, 2024
- BD registered reps · 4 to 3Jan 8, 2024 to Mar 20, 2024
- HNW clients · 7 to 25Jan 8, 2024 to Mar 20, 2024
- Individual clients · 109 to 137Jan 8, 2024 to Mar 20, 2024
- Pension plan clients · 7 to 5Jan 8, 2024 to Mar 20, 2024
- Employees · 4 to 3Jan 8, 2024 to Mar 20, 2024
- Financial planning clients · 0 to 101-250Jan 8, 2024 to Mar 20, 2024
- State-registered IARs · 4 to 3Jan 8, 2024 to Mar 20, 2024
- Discretionary RAUM · $0 to $63.2MJan 8, 2024 to Mar 20, 2024
- HNW RAUM · $28.7M to $45.8MJan 8, 2024 to Mar 20, 2024
- Individual RAUM · $34.2M to $17.3MJan 8, 2024 to Mar 20, 2024
- Non-discretionary RAUM · $75.9M to $14.6MJan 8, 2024 to Mar 20, 2024
Signals
7 dated events
- Bryan Salas Castro left Mollot & Hardy, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2024-05-02)May 7, 2024 · Advisor changed firm · fact
- Alan Richard Mollot left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)Dec 31, 2023 · Advisor changed firm · fact
- Sanford Garry Seide left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)Dec 31, 2023 · Advisor changed firm · fact
- Bryan Salas Castro left Mollot & Hardy, Inc. for Osaic Wealth, Inc. (registered 2023-11-03)Dec 31, 2023 · Advisor changed firm · fact
- Mollot & Hardy, Inc.'s advisors moved to Osaic Wealth, Inc. (Amherst, NY): 3 of 3 registered, on the same dayDec 31, 2023 · Firm absorbed (people side) · derived
- 3 advisors left Fsc Securities Corporation (Amherst, NY) for Mollot & Hardy, Inc. on the same dayNov 3, 2023 · Team lift-out · derived
- Mollot & Hardy, Inc. filed its initial SEC registration (Form ADV)Mar 7, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 716-691-7121reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-691-7718reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/mollot-hardy-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- MOLLOT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 716-691-7121reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- mollot.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $40.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026