C.W. Henderson & Associates, Inc. (Chicago)

Name: C.W. Henderson & Associates, Inc.
Address: 20 West Kinzie Street, Chicago, IL, 60654
Telephone: 312-222-1401

C.W. Henderson & Associates, Inc. is a large advisory firm based in Chicago. It manages $3.25 billion of regulatory assets for 1,233 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Arizona, California, and 34 other states.

C.W. Henderson & Associates provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

C.W. Henderson & Associates: assets under management

The assets under management (AUM) of C.W. Henderson & Associates, Inc. is $3.25 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 159% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.25 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.64 million each.

Investments

The firm invests in state and local bonds the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio. Investments in government bonds form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay C.W. Henderson & Associates, 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.

What kind of clients Craig Wilton Henderson serves?

The firm provides services to individuals, charitable organizations, and corporations or other businesses. The largest group of clients of Craig Wilton Henderson is individuals with 1,090 clients and $2.77 billion of assets under management. Among the 10 most similar advisory firms, C.W. Henderson & Associates has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $3.25 billion for 1,233 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

C.W. Henderson & Associates doesn't advise any private funds.

Careers at C.W. Henderson & Associates, Inc.

The company employs 13 people that are either part- or full-time employees. 54 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Craig Wilton Henderson has been acting as President since 1 Mar 1990. Clare Marie Retrum joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Craig Wilton Henderson	President	1 Mar 1990	75% - 100%	814310
James Francis Heinz	Shareholder	1 Dec 2000	Other	2348808
Thomas Mallman	Shareholder	1 Dec 2000	Other	2079246
Thomas Mallman	Compliance officer	1 Jan 2001	Other	2079246
Thomas Mallman	Shareholder	1 Feb 2001	Other	2079246
Clare Marie Retrum	Chief compliance officer	1 Jan 2016	Other	6629945

Based in Chicago

The principal office where C.W. Henderson & Associates, Inc. performs its advisory services is located at 20 West Kinzie Street, Chicago, IL 60654, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-222-1401 or by fax 312-832-7801. The normal business hours are 7:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at cwhenderson.com and its LinkedIn profile.