PRUDENT MAN INVESTMENT MANAGEMENT
PRUDENT MAN INVESTMENT MANAGEMENT INC Legal Name
Adviser information for PRUDENT MAN INVESTMENT MANAGEMENT last updated from Form ADV on March 8th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 595 | $277.9M |
| Non-Discretionary | 2 | $7.5M |
| Total | 597 | $285.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 134 | $69.6M |
| HNW Individuals | 76 | $211.2M |
| 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 | $4.6M |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-33304 |
|---|---|
| SEC ERA File Number | 801-33304 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104574 |
| Legal Entity Identifier | None |
Principal Office
927 MAIN STREETLOUSIVILLE
CO
United States
Monday - Friday, 8:30AM - 4:30 PM
Tel: 303-436-1577, Fax: 303-436-9651
Chief Compliance Officer
KEITH DIAMOND
EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
927 MAIN STREET
LOUISVILLE
CO
United States
Tel:
303-436-1577
Fax:
303-436-9651
K*******@*************M
(Full email address available in API data)
Regulatory Contact
CHRIS READING
PRESIDENT
927 MAIN STREET
LOUSIVILLE
CO
United States
Tel:
303-436-1577
Fax:
303-436-9651
C*******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DIAMOND, KEITH, JEFFREY | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/2005 | < 5% |
| READING, CHRISTOPHER, PATRICK | Individual | – | PRESIDENT, SR. PORTFOLIO MANAGER | 12/2012 | > 75% |