HOLLOW BROOK WEALTH MANAGEMENT LLC

HTTP://WWW.HOLLOWBROOKLLC.COM/ KATONAH, NY Investment Advisor Hedge Fund How do I update this listing?

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Hollow Brook Wealth Management is based out of Katonah. Hollow Brook Wealth Management is a hedge fund with 278 clients and discretionary assets under management (AUM) of $254,599,853 (Form ADV from 2021-03-29). Their last reported 13F filing for Q1 2021 included $152,256,000 in managed 13F securities and a top 10 holdings concentration of 66.63%. Hollow Brook Wealth Management's largest holding is SPDR Gold MiniShares Trust with shares held of 2,155,243. Hollow Brook Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 51 13F filings, 3 13D filings, and 1 13G filings

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03/31/2021

13F Activity

  • Market Value $152.256 Million
  • Prior Market Value $167.886 Million
  • New Purchases6 stocks
  • Additional Purchases10 stocks
  • Sold out of5 stocks
  • Reduced holdings in22 stocks
  • Top 10 Holdings % 66.63 %
  • Turnover % [1]:21.57%
  • Turnover Alt % [2]: 7.08 %
  • Time Held Top20:13.40 quarters
  • Time Held Top10:9.00 quarters
  • Time Held All:17.86 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.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 9.49%
Performance Last 4 Quarters: 16.2%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

HOLLOW BROOK WEALTH MANAGEMENT LLC
152 BEDFORD ROAD
KATONAH NY    10536
Country: United States

Business Phone: 212-364-1840
Fax: 212-364-1849
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 90,195,600
Total Number of Clients: 278
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2021-03-29
Name Title Start Date Direct/Indirect % Ownership
NORDBERG, EDGAR, WAYNE CHAIRMAN 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK WEALTH MANAGEMENT LLC CHAIRMAN direct 1999-01-01
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-10-01 2001-03-07
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-09-01 2002-03-21
HOLLOW BROOK ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 1999-01-01 2011-09-01
RICHTER, PHILIP, ERNST PRESIDENT 01/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
BAZAAR, ALAN, LEE CEO 01/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2012-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CEO direct 2014-01-01
FEDERICI, GUIDO, ANTHONY CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEROCK ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER direct 2012-03-01
CASTLEROCK WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
HINOKI CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER direct 2016-04-01

HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2020-06-18
Name Title Start Date Direct/Indirect % Ownership
NORDBERG, EDGAR, WAYNE CHAIRMAN 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK WEALTH MANAGEMENT LLC CHAIRMAN direct 1999-01-01
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-10-01 2001-03-07
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-09-01 2002-03-21
HOLLOW BROOK ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 1999-01-01 2011-09-01
RICHTER, PHILIP, ERNST PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
BAZAAR, ALAN, LEE CEO 01/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2012-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CEO direct 2014-01-01

HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2019-04-02
Name Title Start Date Direct/Indirect % Ownership
NORDBERG, EDGAR, WAYNE CHAIRMAN 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK WEALTH MANAGEMENT LLC CHAIRMAN direct 1999-01-01
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-10-01 2001-03-07
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-09-01 2002-03-21
HOLLOW BROOK ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 1999-01-01 2011-09-01
RICHTER, PHILIP, ERNST PRESIDENT 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
BAZAAR, ALAN, LEE CEO 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2012-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CEO direct 2014-01-01
RICHTER, PHILIP, ERNST CHIEF COMPLIANCE OFFICER 02/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
ORING, DAVID, ADAM VICE PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC TREASURER direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC VICE PRESIDENT direct 2015-02-01

HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2018-10-03
Name Title Start Date Direct/Indirect % Ownership
NORDBERG, EDGAR, WAYNE CHAIRMAN 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK WEALTH MANAGEMENT LLC CHAIRMAN direct 1999-01-01
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-10-01 2001-03-07
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-09-01 2002-03-21
HOLLOW BROOK ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 1999-01-01 2011-09-01
RICHTER, PHILIP, ERNST PRESIDENT 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
BAZAAR, ALAN, LEE CEO 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2012-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CEO direct 2014-01-01
RICHTER, PHILIP, ERNST CHIEF COMPLIANCE OFFICER 02/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
ORING, DAVID, ADAM VICE PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC TREASURER direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC VICE PRESIDENT direct 2015-02-01

HOLLOW BROOK WEALTH MANAGEMENT LLC

ownership team - last updated 2017-04-18
Name Title Start Date Direct/Indirect % Ownership
NORDBERG, EDGAR, WAYNE CHAIRMAN 01/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK WEALTH MANAGEMENT LLC CHAIRMAN direct 1999-01-01
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-10-01 2001-03-07
KBW ASSET MANAGEMENT INC VICE CHAIRMAN direct 1998-09-01 2002-03-21
HOLLOW BROOK ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 1999-01-01 2011-09-01
RICHTER, PHILIP, ERNST PRESIDENT 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
BAZAAR, ALAN, LEE CEO 01/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2012-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CEO direct 2014-01-01
RICHTER, PHILIP, ERNST CHIEF COMPLIANCE OFFICER 02/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC PRESIDENT/COO/CHIEF COMPLIANCE OFFICER direct 2008-01-01
HOLLOW BROOK ASSOCIATES LLC MANAGING DIRECTOR direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER direct 2013-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-02-01
HOLLOW BROOK WEALTH MANAGEMENT LLC PRESIDENT direct 2014-01-01
ORING, DAVID, ADAM VICE PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOLLOW BROOK ASSOCIATES LLC TREASURER direct 2008-01-01
HOLLOW BROOK WEALTH MANAGEMENT LLC VICE PRESIDENT direct 2015-02-01

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