HENNESSY ADVISORS INC

HTTPS://WWW.HENNESSYFUNDS.COM NOVATO, CA Investment Advisor How do I update this listing?

Hennessy Advisors is based out of Novato. Hennessy Advisors is a large advisory firm with 16 clients and discretionary assets under management (AUM) of $5,768,995,999 (Form ADV from 2018-12-19). Their last reported 13F filing for Q2 2019 included $2,086,483,000 in managed 13F securities and a top 10 holdings concentration of 21.16%. Hennessy Advisors's largest holding is Sempra Energy, Inc. with shares held of 337,340. Hennessy Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 80 13F filings, and 125 Form 4 filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $2.086 Billion
  • Prior Market Value $2.152 Billion
  • New Purchases56 stocks
  • Additional Purchases26 stocks
  • Sold out of42 stocks
  • Reduced holdings in154 stocks
  • Top 10 Holdings % 21.16 %
  • Turnover % [1]:35.00%
  • Turnover Alt % [2]: 12.82 %
  • Time Held Top20:11.40 quarters
  • Time Held Top10:18.80 quarters
  • Time Held All:11.20 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 2.81%
Performance Last 4 Quarters: -0.18%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR/A (Subscription required)
  • 2008-06-30 - 13F-HR/A (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR/A (Subscription required)
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  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HENNESSY ADVISORS, INC.
7250 REDWOOD BOULEVARD SUITE 200
NOVATO CA    94945
Country: United States

Business Phone: 415-899-1555
Fax: 415-899-1559
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: CA
Number of employees: 23
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 16
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HENNESSY ADVISORS, INC.

ownership team - last updated 2018-12-19
Name Title Start Date Direct/Indirect % Ownership
HENNESSY, NEIL, JOSEPH CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER 01/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. PRESIDENT, CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER direct 1989-02-01
HENNESSY MANAGEMENT CO LP PRESIDENT, CHAIRMAN AND CEO indirect 1989-02-01
HENNESSY MANAGEMENT CO. 2, L.P. SHAREHOLDER indirect 1989-09-01
HENNESSY MANAGEMENT CO LP PRESIDENT, CHAIRMAN & CEO OF GP direct 1989-02-01 2001-04-16
HENNESSY MANAGEMENT CO. 2, L.P. SHAREHOLDER indirect 1989-09-01 2001-05-14
HENNESSY ADVISORS, INC. PRESIDENT, CHAIRMAN & CEO direct 1989-02-01 2014-09-04
NILSEN, TERESA, MARIANI PRESIDENT, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER direct 2001-03-01
HENNESSY MANAGEMENT CO LP EXECUTIVE VICE PRESIDENT & CORPORATE SECRETARY & DIRECTOR OF GP direct 2000-02-01 2001-04-16
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2002-11-19
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2012-03-06
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2014-09-04
HENNESSY, BRIAN, ANTHONY DIRECTOR & SHAREHOLDER 02/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 1989-02-01
HENNESSY MANAGEMENT CO LP DIRECTOR & INVESTOR OF GP direct 1989-02-01 2001-04-16
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 1989-02-01 2014-09-04
STEADMAN, DANIEL, BRUCE EXECUTIVE VICE PRESIDENT, DIRECTOR AND SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR & SHAREHOLDER direct 2010-06-01
HENNESSY MANAGEMENT CO LP EXECUTIVE VICE PRESIDENT OF GP direct 2000-02-01 2001-04-16
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2001-03-01 2009-10-08
HENNESSY ADVISORS, INC. CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2010-06-01 2014-09-04
LIBARLE, DANIEL, GEORGE DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
SEAVEY, THOMAS, LAWRENCE DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
OFFENBACH, RODGER, DEAN DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
HANSEL, HENRY, CURTIS DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
CHESKIEWICZ, JENNIFER, LYNN GENERAL COUNSEL & SHAREHOLDER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. GENERAL COUNSEL direct 2013-06-01
HENNESSY ADVISORS, INC. GENERAL COUNSEL & SHAREHOLDER direct 2013-06-01
POMILIA, SUSAN, WEBER DIRECTOR & SHAREHOLDER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR direct 2014-04-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2014-04-01
CARLSON, BRIAN, CAMERON CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NRP FINANCIAL, INC. DIRECTOR direct 2007-03-01
NRP INVESTMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2006-07-01
NRP ADVISORS, INC. SR MANAGING DIRECTOR direct 2007-09-01
NRP ADVISORS, INC. DIRECTOR direct 2007-09-01
FAHY, KATHRYN, ROSE CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER direct 2018-01-01

HENNESSY ADVISORS, INC.

ownership team - last updated 2017-12-15
Name Title Start Date Direct/Indirect % Ownership
HENNESSY, NEIL, JOSEPH PRESIDENT, CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER 02/01/1989 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. PRESIDENT, CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER direct 1989-02-01
HENNESSY MANAGEMENT CO LP PRESIDENT, CHAIRMAN AND CEO indirect 1989-02-01
HENNESSY MANAGEMENT CO. 2, L.P. SHAREHOLDER indirect 1989-09-01
HENNESSY MANAGEMENT CO LP PRESIDENT, CHAIRMAN & CEO OF GP direct 1989-02-01 2001-04-16
HENNESSY MANAGEMENT CO. 2, L.P. SHAREHOLDER indirect 1989-09-01 2001-05-14
HENNESSY ADVISORS, INC. PRESIDENT, CHAIRMAN & CEO direct 1989-02-01 2014-09-04
NILSEN, TERESA, MARIANI EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER 03/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER direct 2001-03-01
HENNESSY MANAGEMENT CO LP EXECUTIVE VICE PRESIDENT & CORPORATE SECRETARY & DIRECTOR OF GP direct 2000-02-01 2001-04-16
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2002-11-19
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2012-03-06
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CORPORATE SECRETARY & DIRECTOR direct 2001-03-01 2014-09-04
HENNESSY, BRIAN, ANTHONY DIRECTOR & SHAREHOLDER 02/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 1989-02-01
HENNESSY MANAGEMENT CO LP DIRECTOR & INVESTOR OF GP direct 1989-02-01 2001-04-16
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 1989-02-01 2014-09-04
STEADMAN, DANIEL, BRUCE CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR & SHAREHOLDER 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR & SHAREHOLDER direct 2010-06-01
HENNESSY MANAGEMENT CO LP EXECUTIVE VICE PRESIDENT OF GP direct 2000-02-01 2001-04-16
HENNESSY ADVISORS, INC. EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2001-03-01 2009-10-08
HENNESSY ADVISORS, INC. CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2010-06-01 2014-09-04
LIBARLE, DANIEL, GEORGE DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
SEAVEY, THOMAS, LAWRENCE DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
OFFENBACH, RODGER, DEAN DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
HANSEL, HENRY, CURTIS DIRECTOR & SHAREHOLDER 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR & INVESTOR direct 2001-05-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2001-05-01
CHESKIEWICZ, JENNIFER, LYNN GENERAL COUNSEL & SHAREHOLDER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. GENERAL COUNSEL direct 2013-06-01
HENNESSY ADVISORS, INC. GENERAL COUNSEL & SHAREHOLDER direct 2013-06-01
POMILIA, SUSAN, WEBER DIRECTOR & SHAREHOLDER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HENNESSY ADVISORS, INC. DIRECTOR direct 2014-04-01
HENNESSY ADVISORS, INC. DIRECTOR & SHAREHOLDER direct 2014-04-01

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