PULLEN INVESTMENT MANAGEMENT

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Florida, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	166	$140.5M
Non-Discretionary	0	$0
Total	166	$140.5M

Clients

Type	Number	RAUM
Individuals	41	$14.8M
HNW Individuals	33	$93.6M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	<5	$21.8M
Charitable organizations	<5	$7.0M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	5	$3.3M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	1
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesFINANCIAL CONSULTING SERVICES
Compensation	% of AUMFixed fees

Identifiers

SEC RIA File Number	801-127520
SEC ERA File Number	801-127520
SEC CIK Numbers	2011668
SEC CRD Numbers	310149
Legal Entity Identifier	None

Principal Office

417 12TH STREET W
SUITE 212
BRADENTON
FL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic