Henley & Company

What Henley & Company does

Henley & Company, LLC is a New York-based, FINRA/MSRB/SIPC-registered boutique investment firm founded in 1986 by Francis P. Gemino. Operating as both an Investment Advisor and Broker-Dealer, the firm delivers wealth management, private client services, and institutional services to individual investors, small corporations, hedge funds, pension funds, and asset managers. The firm's value proposition centers on pairing personalized, relationship-driven advisory with institutional-grade execution and research.

Core operations are built on a clearing and custody partnership with Pershing LLC, a Bank of New York Mellon subsidiary that provides brokerage execution, clearance, data processing, multi-exchange connectivity (65+ exchanges, ~50 currencies), and SIPC/Lloyd's-insured asset protection. Front-end offerings include Wealth Management, Private Client Services, Institutional Services, and a suite of add-on modules: Corestone Cash Management, a 28,000+ mutual fund supermarket, retirement account administration (IRA/Roth/401(k)/SEP/SIMPLE and qualified plans), fixed income trading, equities and options trading, and Global Trading Solutions. The firm also aggregates third-party equity research from Credit Suisse, CFRA, Argus Research, BNY Jaywalk, and Morningstar, with Federated money-market sweep for idle balances.

Revenue is generated primarily through commissions on equities/options/fixed income trades, transaction- and asset-based advisory fees, and margin interest income, with publicly disclosed commission and margin rate schedules. The firm maintains four offices across the Northeast US (Uniondale HQ, NYC, Jenkintown, Blue Bell) and serves a horizontally diversified customer mix from SMB individuals to enterprise institutional accounts, though firmographics indicate only 1–10 employees and revenue is not publicly disclosed.

Name

Henley & Company

Legal name

Henley & Company, LLC

Website

https://henleyandcompany.com

Company type

Private

Founded year

1986

Operating status

Operating

Headcount range

1–10 employees

Short description

Henley & Company is a New York-based, FINRA-registered boutique investment firm founded in 1986 that provides wealth management, private client, and institutional brokerage services, leveraging Pershing LLC (BNY Mellon) for clearing and global execution across 65+ exchanges.

Ownership category

akta.pro rank

Product category

Wealth Management & Brokerage Services

NAICS

Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282)

akta.pro primary industry

Institutional Consulting RIAs (OCIO/Endowments/Foundations/Pensions) (FSAAACAG)

Keywords

• Wealth management services
• Broker-dealer services
• Institutional securities trading
• Investment advisory services
• Retirement planning accounts

Headquarters

HQ city

Clodomira

HQ country

Argentina

HQ region

Latin America

Offices4 records

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Investment Advisory Services: Registered as both an Investment Advisor and Broker-Dealer, offering investment advisory programs that are separate and distinct from brokerage accounts, governed by different laws and separate client contracts
2. Brokerage Services: Full-service brokerage including equities, options, and fixed income trading with commission-based revenue
3. Margin Lending: Margin interest income generated from client margin accounts
4. Fee Schedules: Various fee schedules including commission schedules, margin rate schedules, and fee schedules for different service tiers

Pricing tiers

Go-to-market motion2 records

Distribution channels4 records

Marketing channels4 records

Core offering

Henley & Company is a full-service investment firm providing wealth management, private client services, and institutional services. Registered as both an Investment Advisor and Broker-Dealer, it offers personalized advisory and brokerage execution in equities, options, and fixed income, supported by Pershing LLC clearing, retirement planning accounts, a mutual fund supermarket of 28,000+ funds, and global trading solutions across 65+ exchanges.

Product overview

Henley & Company is a New York-based full-service investment firm providing wealth management, private client services, and institutional services. The firm operates as both an Investment Advisor and Broker-Dealer, combining the intimacy of a boutique firm with extensive resources through its clearing firm Pershing LLC (an affiliate of Bank of New York Mellon). The core service offerings include Wealth Management (advisory and brokerage services), Private Client Services (PCS), and Institutional Services, supported by additional modules such as Corestone Cash Management, Money Funds, Mutual Funds Supermarket (accessing 28,000+ funds), Retirement Planning accounts, Fixed Income Trading, Equities/Options Trading, and Global Trading Solutions. The firm has been providing investment advice since 1986.

Differentiator

Problem solved

Functional benefit

Products and services

• Wealth Management Comprehensive wealth management combining both advisory and brokerage services. Registered as both an Investment Advisor and Broker-Dealer, offering multiple engagement models tailored to individual client needs. Targeted at individual investors seeking personalized investment strategies.
• Private Client Services Boutique-style service offering exceptional benefits typically reserved for institutional clients, providing prompt access to research analysts, traders, and senior management for individuals, institutions, small corporations, and hedge funds.
• Institutional Services Investment advice and execution services for institutional investors including asset managers, fund managers, hedge funds, pension funds, and corporations. Features personalized service, innovative investment ideas, and execution capability through a worldwide network.
• Corestone Cash Management Comprehensive asset management service combining brokerage, checking, money market fund, and MasterCard debit card activity into a unified package with consolidated monthly statements. Available in multiple packages with optional features including reward programs and online bill payment.
• Mutual Funds Supermarket Access to over 28,000 mutual funds from more than 800 fund families through a mutual fund supermarket platform, offering one of the largest and most diverse selections of onshore and offshore mutual funds in the industry.
• Retirement Planning Accounts Full line of flexible, investor-focused retirement accounts including IRAs, Roth IRAs, Mutual Fund-Only IRAs, Rollover IRAs, Education and Health Savings Accounts, 403(b)(7) custodial accounts, SEP plans, SARSEP plans, SIMPLE plans, and qualified retirement plans including 401(k), Individual(k), profit sharing, and money purchase pension plans.
• Fixed Income Trading Full-service fixed income trading through Pershing's seasoned professionals providing personal support and access to a comprehensive array of fixed income securities with strategic alliances with bulge-bracket firms.
• Equities and Options Trading Agency Sales Trading Desk, Options Trading Desk, Foreign Equity Desk, and NYSE floor broker networks providing best execution for all equity and option orders.
• Global Trading Solutions Multi-currency execution capabilities across more than 65 exchanges through Pershing's exchange memberships, local relationships, and third-party electronic access, with foreign exchange capabilities facilitating trading in nearly 50 world currencies.
• Money Market Sweep (Money Funds) Sweep service for uninvested account balances into money market funds in the Federated family to intensify portfolio growth potential.

Named customers7 records

Segments7 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature4 records

Partnerships

Two partnerships are on record, tiered core.

• Pershing LLCcoreTechnology or IntegrationPershing LLC, a member of BNY Securities Group and subsidiary of The Bank of New York Mellon, protects and maintains account assets for Henley & Company clients. Since 1939, Pershing has provided comprehensive brokerage execution, clearance, data processing, and financial products and services. Pershing provides securities investor protection through SIPC membership and excess coverage through Lloyd's insurance market.
• Bank of New York MelloncoreTechnology or IntegrationParent company of Pershing LLC, providing over 80 years of experience. Bank of New York Mellon ensures security and strong foundation of service for all Henley & Company clients through its Pershing subsidiary.

Scale indicators6 records

Recent moves5 records

Expansion highlights2 records

Direct peers

• Oppenheimer & Co. Full-service broker-dealer and investment advisor with private client, institutional, and wealth management divisions. Highly comparable to Henley in product breadth (equities, fixed income, alternatives), research stack, and dual RIA/broker-dealer model, though larger in scale.
• Janney Montgomery Scott: Independent, full-service private wealth management and capital markets firm. Closely matches Henley's boutique private client model, Pershing-style clearing reliance, and focus on HNW individuals and small institutions with personalized advisory service.
• Wedbush Securities: Independent, full-service broker-dealer offering wealth management, private client, and institutional services. Comparable to Henley in independent ownership, multi-channel service model, and dual RIA/broker-dealer registrations.
• D.A. Davidson: Employee-owned, full-service broker-dealer with wealth management and institutional divisions. Comparable to Henley in independent ownership, regional concentration, and integration of wealth advisory with capital markets execution.
• William Blair: Independent, employee-owned investment firm with private wealth management and institutional research/brokerage divisions. Closely mirrors Henley's boutique-plus-institutional positioning and research-led service model.
• Cadaret, Grant & Co. Independent broker-dealer and RIA supporting independent financial advisors. Highly comparable in boutique scale, RIA/broker-dealer dual registration, and personalized private client service offering.

Broad incumbents

• Robert W. Baird: Large, privately-held full-service broker-dealer with significant private wealth management and institutional equity research businesses. Comparable service mix to Henley but substantially larger scale and broader geographic reach.
• Stifel Financial: Full-service broker-dealer and investment bank with a strong wealth management franchise. Comparable to Henley in dual RIA/broker-dealer structure and institutional research, though far larger and more diversified.
• Cetera Financial Group: Independent broker-dealer and RIA platform supporting thousands of financial professionals. Comparable to Henley in independent advisor support and dual RIA/broker-dealer model, though operating as a much larger IBD network.

Emerging players

• Kestra Financial: Independent broker-dealer and RIA platform serving independent financial advisors. Overlaps with Henley's private client and wealth management model through shared Pershing-cleared execution and dual registration structure.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles4 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Henley & Company