Philip E. Richter

HOLLOW BROOK WEALTH MANAGEMENT LLC

Katonah, NY 10536

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CRD#: 4881470

Professional summary

Philip Ernst Richter, who also goes by Phillip Ernst Richter, is a registered financial advisor currently at HOLLOW BROOK WEALTH MANAGEMENT LLC located in Katonah, New York.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Philip has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip Ernst Richter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Jointly with his brother, Philip owns his family's property/farm in Bedford, NY - Coker Farm is a working horse farm. No Client, Investor, or Private Fund has invested, and/or has been solicited to invest, in any of these joint ventures or outside businesses. Currently, Philip sits on the boards of Revs Institute, the Hampton Classic Horse Show, the Lake Placid Horse Show, the United States Equestrian Team Foundation, the United States Equestrian Federation, and the Pray Family Foundation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Ernst Richter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 17, 2024 - Present

HOLLOW BROOK WEALTH MANAGEMENT LLC

Office #1: 152 Bedford Road, Katonah, NY 10536

RIA

CRD#: 145521

Katonah, NY

Past

January 7, 2008 - April 5, 2010

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

NEW YORK, NY

Past

February 15, 2005 - January 2, 2008

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HOLLOW BROOK WEALTH MANAGEMENT LLC

HOLLOW BROOK ADVISORS | HOLLOW BROOK WEALTH MANAGEMENT LLC | HOLLOW BROOK ASSOCIATES LLC

CRD#: 145521 / SEC#: 801-68599

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/9/2025)

IAR

Texas
(4/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/14/2005

General Securities Representative Examination

Current Firm

HOLLOW BROOK WEALTH MANAGEMENT LLC

HOLLOW BROOK ADVISORS | HOLLOW BROOK WEALTH MANAGEMENT LLC | HOLLOW BROOK ASSOCIATES LLC

CRD#: 145521 / SEC#: 801-68599

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

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Contact information

Main Address

152 Bedford Road, Katonah, NY 10536

Mailing Address

Phone number

(212) 364-1848

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOLLOW BROOK PART 2 MARCH 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	538
AUM (Assets Under Management)	$ 1,197,072,975

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Philip E. Richter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Ernst Richter's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOLLOW BROOK WEALTH MANAGEMENT LLC

C. L. KING & ASSOCIATES, INC.

INGALLS & SNYDER, LLC

Primary Firm SEC Registration

HOLLOW BROOK WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2024

Series 66

Date: 3/14/2005

Series 7

Date: 2/14/2005

Current Firm

HOLLOW BROOK WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOLLOW BROOK WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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