Mollot & Hardy, Inc.
Registered investment adviser · Amherst, NY · CRD #128377
Form ADV data as of 2026-09-01Regulatory assets
$80.6 million
Total accounts
81
Employees
2
Disclosure events
0
Firm details
- Website: https://www.linkedin.com/company/mollot-hardy-inc
- Telephone: 716-691-7121
- SEC file number: 801-112787
- Most recent Form ADV filing: 2026-03-13
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $80.6 million |
| Total regulatory assets under management | $80.6 million |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 81 |
| Total accounts | 81 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 2 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 2 |
| Employees registered as investment adviser representatives with a state | 2 |
| Employees registered as IARs for another investment adviser | 2 |
| Employees who are licensed insurance agents | 2 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 67 | $12.4 million |
| High net worth individuals | 10 | $55.2 million |
| Pension and profit sharing plans (not the participants or government plans) | Not reported | $13.0 million |