H.C. Wainwright & Co., Inc. (Boston)

Name: H.C. Wainwright & Co., Inc.
Address: 101 Federal Street, 19 Th Floor, Boston, MA, 02110
Telephone: 617-531-3106

H.C. Wainwright & Co., Inc. is a large advisory firm based in Boston. It manages $94.53 million of regulatory assets for 184 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Florida, Georgia, and 6 other states.

H.C. Wainwright & Co. provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

H.C. Wainwright & Co.: assets under management

The assets under management (AUM) of H.C. Wainwright & Co., Inc. is $94.53 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 25% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $94.53 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $513.74 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay H.C. Wainwright & Co., Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at H.C. Wainwright & Co., Inc.

Scott Alan Weisman has been acting as President since 1 Jun 2001. Robert Lee Clark joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Lee Clark	President	1 Jul 1966	Other	47834
Saro Joseph Picciotto	Chief operating officer	1 Jan 1989	Other	1912352
Stephen Dalton Barrett	Chief executive officer	1 Sep 1990	Other	13479
H. C. Wainwright Holding Corp. ("Whc")	Sole shareholder	1 Aug 1995	75% - 100%	00-0453821
Stephen Robert Yardumian	Chief financial officer	1 Oct 1997	Other	2936673
Anne Paul Buckley	Chief administrative officer	1 Jun 2001	Other	1781079
Scott Alan Weisman	President	1 Jun 2001	Other	2367813
Brent Eugene Hippert	Chief financial officer	1 May 2002	Other	1067611
Robert Lee Clark	President	1 Nov 2002	Other	47834

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Robert Lee Clark	President director	1 Aug 1995	25% - 50%	47834
Stephen Dalton Barrett	Chief executive officer, director	1 Aug 1995	25% - 50%	13479
Bryan J. Zwan	Director	1 Jan 2001	75% - 100%	xxx-xx-xxxx
Llc Zg Consulting	Shareholder	1 Jun 2001	25% - 50%	593647044

Based in Boston

The principal office where H.C. Wainwright & Co., Inc. performs its advisory services is located at 101 Federal Street, 19 Th Floor, Boston, MA 02110, which is also the mailing address of the firm. An additional office of the firm is in Towson, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-531-3106 or by fax 617-531-3140. The normal business hours are 8:00 to 5:00 on Monday - Friday. You can find more information about the New York firm at www.hcwainwright.com.