PETTEE INVESTORS INC
Adviser information for PETTEE INVESTORS INC last updated from Form ADV on March 28th, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 73 | $232.3M |
| Non-Discretionary | 0 | $0 |
| Total | 73 | $232.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5 | $3.1M |
| HNW Individuals | 30 | $212.7M |
| 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 | $5.4M |
| Charitable organizations | <5 | $10.9M |
| 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 | $247,529 |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-34750 |
|---|---|
| SEC ERA File Number | 801-34750 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105553 |
| Legal Entity Identifier | None |
Principal Office
137 ROWAYTON AVENUESUITE 430
ROWAYTON
CT
United States
Monday - Friday, 9:00A.M. - 5:00 P.M.
Tel: 203 9578880, Fax: 203 9578887
Chief Compliance Officer
SHEILA PECK PETTEE
PRESIDENT & CHIEF COMPLIANCE OFFICER
137 ROWAYTON AVENUE
SUITE 430
ROWAYTON
CT
United States
Tel:
(203) 957-8880
Fax:
(203) 957-8887
S*******@******************M
(Full email address available in API data)
Regulatory Contact
SCOTT GOTTLIEB
CONSULTANT
15 E. PUTNAM AVENUE
#286
GREENWICH
CT
United States
Tel:
866-798-2930
S**@**************************M
(Full email address available in API data)
Industry Affiliates
| HOYA CAPITAL REAL ESTATE, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PETTEE, SHEILA, PECK | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 05/1989 | > 75% |
| PETTEE, TIMOTHY, PLATT | Individual | – | TREASURER | 02/2022 | < 5% |