Hennessy Advisors INC (HNNAZ) — SEC Filings

Q: What are the key financial highlights for Hennessy Advisors INC?

Key financial highlights for Hennessy Advisors INC are extracted from the most recent 10-K or 10-Q filings, including revenue, net income, EPS, debt-to-equity, cash position, and operating margin.

Q: Who are the key executives at Hennessy Advisors INC?

Key executives at Hennessy Advisors INC are identified from SEC filings including 10-K annual reports, proxy statements, and insider trade forms.

Q: What are the main risk factors for Hennessy Advisors INC stock?

Risk factors for Hennessy Advisors INC (HNNAZ) are assessed from SEC filings using AI analysis. Each filing is categorized as high, medium, or low risk based on disclosed risk factors and financial indicators.

Q: What are recent predictions and forward guidance from Hennessy Advisors INC?

Forward-looking statements and predictions from Hennessy Advisors INC are extracted from SEC filings including earnings reports, annual reports, and current event filings.

Latest SEC filings for Hennessy Advisors INC. Recent DEF 14A filing on Dec 10, 2025. AI-decoded analysis of earnings, risk factors, and insider trades.

View Hennessy Advisors INC on SEC EDGAR

Overview

Hennessy Advisors INC (HNNAZ) is a publicly traded company tracked on ReadTheFiling. The most recent enriched filing is a DEF 14A filed on Dec 10, 2025: Hennessy Advisors Inc. (HNNAZ) experienced a robust fiscal year 2025, with a 22% increase in average assets under management (AUM) driving double-digit gains in revenue, net income, and earnings per share. Despite a fiscal year 2025 decline of 8.6% in total AUM, the company maintained nearly $4.3 bi

Sentiment Summary

Across 27 filings, the sentiment breakdown is: 1 bullish, 25 neutral, 1 mixed. The dominant filing sentiment for Hennessy Advisors INC is neutral.

Filing Type Overview

Hennessy Advisors INC (HNNAZ) has filed 2 DEF 14A, 2 10-K, 8 8-K, 8 13F-HR, 6 10-Q, 1 13F-HR/A with the SEC between Jan 2024 to Dec 2025.

Filings by Year

2025 · 2024

Recent Filings (27)

Hennessy Advisors Posts Double-Digit Gains, Eyes ETF Acquisition — DEF 14A · Dec 10, 2025 Risk: low
Hennessy Advisors Inc. (HNNAZ) experienced a robust fiscal year 2025, with a 22% increase in average assets under management (AUM) driving double-digit gains in
Hennessy Advisors Eyes ETF Growth Amidst $4.2B AUM — 10-K · Dec 3, 2025 Risk: medium
Hennessy Advisors, Inc. (HNNAZ) reported average assets under management of $4.5 billion for fiscal year 2025, with total assets under management at year-end re
Hennessy Advisors Files 8-K — 8-K · Oct 29, 2025 Risk: low
Hennessy Advisors, Inc. filed an 8-K on October 29, 2025, reporting on events that occurred on the same date. The filing primarily concerns Regulation FD Disclo
13F-HR Filing — 13F-HR · Oct 20, 2025
Hennessy Advisors Sees Modest Q3 Advisory Fee Growth — 10-Q · Aug 6, 2025 Risk: medium
HENNESSY ADVISORS INC reported a mixed financial performance for the nine months ended June 30, 2025. Total revenue for the nine months ended June 30, 2025, was
13F-HR Filing — 13F-HR · Jul 21, 2025
Hennessy Advisors Q3 Revenue Dips Slightly — 10-Q · May 7, 2025 Risk: low
Hennessy Advisors Inc. filed its 10-Q for the period ending March 31, 2025. The company reported total assets of $22,500,000 and total liabilities of $7,785,550
13F-HR Filing — 13F-HR · Apr 16, 2025
Hennessy Advisors Files 8-K Report — 8-K · Mar 14, 2025 Risk: low
On March 14, 2025, Hennessy Advisors, Inc. filed an 8-K report. The filing primarily concerns financial statements and exhibits, with no other specific events d
Hennessy Advisors Files 8-K on Shareholder Vote — 8-K · Feb 18, 2025 Risk: low
Hennessy Advisors, Inc. filed an 8-K on February 18, 2025, reporting on a matter submitted to a vote of security holders on February 13, 2025. The filing detail
Hennessy Advisors Reports Q1 2025 Financials — 10-Q · Feb 13, 2025 Risk: low
Hennessy Advisors Inc. filed its 10-Q for the period ending December 31, 2024. The company reported total assets of $22,500,000 and total liabilities of $7,783,
13F-HR Filing — 13F-HR · Jan 15, 2025
Hennessy Advisors Files 2025 Proxy Statement — DEF 14A · Dec 18, 2024 Risk: low
Hennessy Advisors, Inc. filed its definitive proxy statement (DEF 14A) on December 18, 2024, for its 2025 Annual Meeting of Shareholders, scheduled for February
Hennessy Advisors Changes Auditors to BDO USA, LLP — 8-K · Dec 16, 2024 Risk: medium
Hennessy Advisors, Inc. filed an 8-K on December 16, 2024, reporting a change in its certifying accountant. The company's principal independent registered publi
Hennessy Advisors Inc. Files 2024 10-K — 10-K · Dec 11, 2024 Risk: low
Hennessy Advisors Inc. filed its 10-K for the fiscal year ending September 30, 2024, reporting total assets of $22,500,000. The company's fiscal year 2024 saw r
Hennessy Advisors Files 8-K — 8-K · Oct 30, 2024 Risk: low
Hennessy Advisors, Inc. filed an 8-K on October 30, 2024, reporting a Regulation FD Disclosure and Financial Statements and Exhibits. The filing pertains to the
13F-HR Filing — 13F-HR · Oct 16, 2024
Hennessy Advisors Files 8-K on Officer/Director Changes — 8-K · Sep 20, 2024 Risk: medium
Hennessy Advisors, Inc. filed an 8-K on September 20, 2024, reporting events as of September 16, 2024. The filing pertains to the departure of directors or cert
Hennessy Advisors Reports Q3 2024 Results — 10-Q · Aug 8, 2024 Risk: medium
Hennessy Advisors Inc. reported its 10-Q filing for the period ending June 30, 2024. The company's total assets were $22,500,000, with total liabilities of $7,6
13F-HR Filing — 13F-HR · Jul 23, 2024
Hennessy Advisors Inc. Files 10-Q for Period Ending March 31, 2024 — 10-Q · May 8, 2024 Risk: low
HENNESSY ADVISORS INC (HNNAZ) filed a Quarterly Report (10-Q) with the SEC on May 8, 2024. Hennessy Advisors Inc. reported financial results for the period endi
13F-HR Filing — 13F-HR · Apr 16, 2024
13F-HR/A Filing — 13F-HR/A · Mar 14, 2024
Hennessy Advisors Files 8-K for 'Other Events' and Financial Exhibits — 8-K · Feb 23, 2024 Risk: low
Hennessy Advisors, Inc. filed an 8-K on February 23, 2024, to report an 'Other Event' and 'Financial Statements and Exhibits'. The filing indicates a current re
Hennessy Advisors Files 8-K on Shareholder Vote Matters — 8-K · Feb 9, 2024 Risk: low
Hennessy Advisors, Inc. filed an 8-K on February 9, 2024, reporting an event that occurred on February 8, 2024, related to the submission of matters to a vote o
Hennessy Advisors Inc. Files 10-Q for Period Ending December 31, 2023 — 10-Q · Feb 8, 2024 Risk: low
HENNESSY ADVISORS INC (HNNAZ) filed a Quarterly Report (10-Q) with the SEC on February 8, 2024. Hennessy Advisors Inc. reported total assets of $22,500,000 for
Hennessy Advisors Discloses Q4 2023 Holdings, Including 3M, AbbVie — 13F-HR · Jan 18, 2024
Hennessy Advisors Inc. filed its 13F-HR on January 18, 2024, revealing its holdings as of December 31, 2023. The filing shows significant positions in companies

Risk Profile

Risk Assessment: Of HNNAZ's 18 recent filings, 0 were flagged as high-risk, 5 as medium-risk, and 13 as low-risk. The overall risk profile suggests relatively low risk with generally favorable filings.

Financial Highlights

Key financial metrics from Hennessy Advisors INC's most recent 10-K filing (Dec 3, 2025):

Revenue: N/A
Net Income: N/A
EPS: N/A
Debt-to-Equity: N/A
Cash Position: N/A
Operating Margin: N/A
Total Assets: N/A
Total Debt: N/A

Key Executives

Neil J. Hennessy
Teresa M. Nilsen

Industry Context

The asset management industry is characterized by intense competition, ongoing fee compression, and a growing demand for specialized investment products like ETFs. Companies are increasingly focused on scale, operational efficiency, and strategic acquisitions to maintain market share and profitability. Regulatory scrutiny remains a constant factor, requiring robust compliance frameworks.

Top Tags

financials (5) · 10-Q (5) · Asset Management (3) · corporate-governance (3) · Acquisitions (2) · Financial Services (2) · 8-K (2) · assets (2) · shareholder-vote (2) · filing (2)

Executive Compensation

From the most recent DEF 14A filing (Dec 10, 2025):

Neil J. Hennessy — Chairman and Chief Executive Officer: $1,087,000
Teresa M. Nilsen — President and Chief Financial Officer: $660,000
Daniel J. O'Rourke — Chief Operating Officer: $485,000
Scott W. Gress — Chief Compliance Officer: $395,000
Michael J. D'Amico — Chief Investment Officer: $450,000

Key Numbers

Total Assets Under Management: $4.3B — Despite an 8.6% decline in fiscal year 2025, still a significant base.
Increase in average AUM: 22% — Drove double-digit gains in revenue, net income, and EPS in fiscal year 2025.
Cash flow added: $8.5M — Contributed to nearly $73 million cash on balance sheet at fiscal year end.
Cash on balance sheet: $73M — Strong liquidity position at the end of fiscal year 2025.
Quarterly dividend per share: $0.1375 — Consistent shareholder reward.
Annualized dividend yield: 5.4% — Based on $10.16 closing price on December 2, 2025, attractive for income investors.
Decline in total AUM: 8.6% — During fiscal year 2025, offset by average AUM increase.
Hennessy Funds: 17 — All posted positive returns for one- and three-year periods ended September 30, 2025.
Anticipated acquisitions in three years: 3 — Demonstrates commitment to growth through strategic acquisition.
Dow Jones Industrial Average rise: 8.03% — For the one-year period ended November 30, 2025.
Average Assets Under Management: $4.5B — for fiscal year 2025, indicating the revenue base
Open-end mutual funds: 16 — number of mutual funds managed by Hennessy Advisors
Exchange-traded fund (ETF): 1 — number of ETFs managed by Hennessy Advisors, prior to STF acquisition
Aggregate market value of common stock held by non-affiliates: $49,472,655 — as of March 31, 2025, reflecting market capitalization
Shares of common stock issued and outstanding: 7,891,917 — as of December 2, 2025

Forward-Looking Statements

{"claim":"Hennessy Advisors will release a proxy statement (DEF 14A) detailing the matters to be voted on by security holders.","entity":"Hennessy Advisors, Inc.","targetDate":"Within the next 30-60 days","confidence":"high"}
{"claim":"Hennessy Advisors will maintain stable, modest growth in net income over the next fiscal year.","entity":"HENNESSY ADVISORS INC","targetDate":"2024-09-30","confidence":"medium"}

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Frequently Asked Questions

What are the latest SEC filings for Hennessy Advisors INC (HNNAZ)?

Hennessy Advisors INC has 27 recent SEC filings from Jan 2024 to Dec 2025, including 8 8-K, 8 13F-HR, 6 10-Q. Each filing includes an AI-generated plain-English summary.

What is the overall sentiment of HNNAZ filings?

Across 27 filings, the sentiment breakdown is: 1 bullish, 25 neutral, 1 mixed. The dominant sentiment is neutral.

Where can I find Hennessy Advisors INC SEC filings explained simply?

ReadTheFiling provides AI-powered plain-English summaries of all Hennessy Advisors INC (HNNAZ) SEC filings, including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and insider trades.

What are the key financial highlights for Hennessy Advisors INC?

Key financial highlights from Hennessy Advisors INC's most recent 10-K include metrics such as revenue, net income, EPS, and debt ratios. Visit the filing detail page for the full breakdown.

What is the investment thesis for HNNAZ?

The investment thesis for HNNAZ includes bull, base, and bear case scenarios derived from AI analysis of recent SEC filings.

Who are the key executives at Hennessy Advisors INC?

Key executives identified across Hennessy Advisors INC's filings include Neil J. Hennessy, Teresa M. Nilsen.

What are the main risk factors for Hennessy Advisors INC stock?

Of HNNAZ's 18 assessed filings, 0 were flagged high-risk, 5 medium-risk, and 13 low-risk.

What are recent predictions and forward guidance from Hennessy Advisors INC?

Recent forward-looking statements from Hennessy Advisors INC include guidance on {"claim":"Hennessy Advisors will release a proxy statement (DEF 14A) detailing the matters to be voted on by security ho and 1 other predictions.