Pemberwick Investment Advisors, LLC (Greenwich)

Pemberwick Investment Advisors, LLC is a large advisory firm based in Greenwich. It manages $350.28 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Connecticut.

Pemberwick Investment Advisors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pemberwick Investment Advisors: assets under management

The assets under management (AUM) of Pemberwick Investment Advisors, LLC is $350.28 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 134% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $350.28 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $350.28 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Pemberwick Investment Advisors, LLC 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 Pemberwick Investment Advisors serves?

The only and largest group of clients of Pemberwick Investment Advisors is investment companies with 1 clients and $350.28 million of assets under management. Among the 8 most similar advisory firms, Pemberwick Investment Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $350.28 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Pemberwick Investment Advisors doesn't advise any private funds.

Careers at Pemberwick Investment Advisors, LLC

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

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

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David A Salzman	Member	1 Feb 2009	25% - 50%	5667155
Miller M Kristin	Member	1 Feb 2009	Other	5667157
James P Hussey	Ceo	1 Feb 2009	Other	5667167
Richard Paul Richman	Manager	1 Feb 2009	Other	1231315
Brian Patrick Myers	Member	1 Feb 2009	Other	5667240
Joanne D Flanagan	Chief compliance officer	1 Feb 2009	Other	5667162
Richman Family Irrevocable Grantor Trust	Member	1 Feb 2009	25% - 50%	03-6092010
Richman Family Irrevocable Grantor Trust Ii	Member	1 Feb 2009	Other	16-6535705
Lelia Marie Long	Chief compliance officer	1 Mar 2010	Other	4482684
Scott Richman	Member	1 Jan 2013	Other	4989280
Brooke Schapps Richman	Member	1 Jan 2013	Other	5551841
Ellen Richman	Member	1 Jan 2013	25% - 50%	6301134

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John William Behre	Trustee	1 Jun 2002	50% - 75%	5667171
Ronald S Kochman	Trustee	1 Jul 2011	50% - 75%	6167466

Based in Greenwich

The principal office where Pemberwick Investment Advisors, LLC performs its advisory services is located at 777 West Putnam Avenue, Greenwich, CT 06830, 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 203-869-0900 or by fax 203-869-9543. The normal business hours are 9:00 - 5:30 on Monday - Friday.