Wulff, Hansen & Co.
- Regulatory AUM
- $145M
- Discretionary
- $145M
- Clients
- 141
- Avg AUM / client
- $1.0M
- Accounts
- 143
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 71 | $25.9M | 17.9% |
| High net worth individuals | 65 | $106M | 72.9% |
| Pension and profit sharing plans | Fewer than 5 | $1.3M | 0.88% |
| Charitable organizations | 5 | $12.1M | 8.38% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Donald Charles | President, Cco Chief Compliance Officer | Jul 1997 (29y) | 75% or more | |
| Dennis Henry Steinkamp | Senior Vice President | Jul 1997 (29y) | 5% – 10% | |
| Tu, Kim B | Cfo/Poo For Regulatory Purposes Only | Oct 2019 (7y) | Less than 5% | |
| Pankratz, Robert John | Municipal Advisor Representative, Director Of Operations, Vice President | Aug 2022 (4y) | 5% – 10% | |
| Nicolas Santoyo | Registered representative | May 2022 (4y) | ||
| Dana Elizabeth Schmidt | Registered representative | Jul 2022 (4y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.43 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO COMPLY WITH CERTAIN PORTIONS OF ARTICLE III, SECTION I OF RFP AND FILING REQUIREMENTS REGARDING FORM A13. Status: Final Sanction Detail: PENALTY DESCRIBED ABOVE WAS PAID 8/13/1990. Summary: MATTER CLOSED 8/1990
Allegations: FAILURE TO COMPLY WITH CERTAIN PORTIONS OF ARTICLE III, SECTION I OF RFP AND FILING REQUIREMENTS REGARDING FORM A13. Status: Final Sanction Detail: PENALTY DESCRIBED ABOVE WAS PAID 8/13/1990. Summary: MATTER CLOSED 8/1990.
Allegations: DURING A THREE-MONTH PERIOD A TOTAL OF 39 MUNICIPAL BOND TRADES WERE REPORTED WITH AN INCORRECT TIME AND/OR REPORTED MORE THAN 15 MINUTES AFTER EXECUTION IN VIOLATION OF MSRB RULES G-14 AND G-8. Status: Final Sanction Detail: CENSURE AND FINE OF $10,000 COMPOSED OF A $7500 FINE FOR THE MSRB RULE G-14 VIOLATIONS AND A $2500 FINE FOR THE MSRB RULE G-8 VIOLATIONS.
Allegations: SETTLED 9/27/82. THE SEC ALLEGED THAT THE FIRM ENGAGED IN INSIDER TRADING USING DATA ABOUT A SUCCESSFUL OIL WELL IN WHICH GULF ENERGY CORPORATION HAD AN INTEREST, PURCHASED STOCK AT BELOW-MARKET PRICES WITHOUT DISCLOSING THAT FACT, AND ISSUED A RESEARCH REPORT CONTAINING INFORMATION SUPPLIED BY GULF ENERGY WHICH WAS FALSE AND MISLEADING. Status: Final Sanction Detail: FINED $737 IN ALLEGED INSIDER TRADING PROFITS AND FOR THIRTY DAYS THE FIRM AGREED NOT TO ENGAGE IN TRADES OF SECURITIES NOT LISTED ON A NATIONAL SECURITIES EXCHANGE OTHER THAN UNSOLICITED LONG SALES. Summary: FINAL SETTLEMENT SEPTEMBER 1982. IN AGREEING TO THE SETTLEMENT AND PAYING THE $737 IN ALLEGED INSIDER TRADING PROFITS WULFF, HANSEN DID NOT ADMIT OR DENY THE ALLEGED VIOLATIONS. THE FIRM ACCEPTED THE SETTLEMENT BECAUSE THE FIRM DECIDED THAT FOR $737 IT WAS NOT CONSIDERED WORTHWHILE TO CONTINUE PURSUING THE MATTER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $91.7M (63% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗