New York City, NY Office

Henley & Company Wealth Management LLC provides discretionary and non‑discretionary portfolio management and complimentary financial planning to individuals (including high‑net‑worth clients) as well as trusts, estates, and retirement plans. The firm manages roughly $93.9 million for about 63 clients through a team of five advisers and primarily charges percentage‑of‑assets fees; it also sponsors a wrap fee program that consolidates advisory and execution services for participating accounts.

The firm employs a mix of analytic methods — including fundamental, technical, cyclical, and charting analysis — and may use long‑ and short‑term purchases, options, and margin trading where suitable to client objectives. Portfolios are tailored to each client’s risk tolerance and investment goals, monitored on an ongoing basis, and reviewed at least annually with the option for clients to grant discretionary trading authority or retain pre‑trade approval.

Henley is affiliated with an in‑house broker‑dealer and discloses that associated persons may act as registered representatives and licensed insurance agents, a structure that the brochure identifies as creating potential conflicts of interest due to commissions, 12b‑1 fees, and insurance compensation. The firm’s disclosure record is notable for an SEC order in March 2019 related to mutual fund share class selection (resulting in a censure and payment of disgorgement and prejudgment interest) and multiple customer arbitration matters from 2021–2022 alleging supervisory failures that the firm says were settled.