PENTEGRA INVESTORS, INC.
Adviser information for PENTEGRA INVESTORS, INC. last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 131 | $3.7B |
| Non-Discretionary | 160 | $2.2B |
| Total | 291 | $5.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $8.0M |
| Pension and profit sharing plans | 287 | $5.9B |
| 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 businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)COMPREHENSIVE ADVICE TO THIRD PARTY INTERNAL INVESTMENT COMMITTEES |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-36893 |
|---|---|
| SEC ERA File Number | 801-36893 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111503 |
| Legal Entity Identifier | None |
Principal Office
701 WESTCHESTER AVENUESUITE 320E
WHITE PLAINS
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (914) 694-1300, Fax: (914) 694-9384
Websites
Chief Compliance Officer
LARS G. ERNST
CHIEF COMPLIANCE OFFICER
701 WESTCHESTER AVENUE
SUITE 320E
WHITE PLAINS
NY
United States
Tel:
(914) 821-9554
Fax:
(914) 694-9384
L*********@***********M
(Full email address available in API data)
Regulatory Contact
KEVIN FINNEGAN
SVP, GENERAL COUNSEL
701 WESTCHESTER AVENUE
SUITE 320E
WHITE PLAINS
NY
United States
Tel:
(914) 821-9412
Fax:
(914) 694-9384
K*************@***********M
(Full email address available in API data)
Industry Affiliates
| PENTEGRA DISTRIBUTORS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PENTEGRA INSURANCE AGENCY, INC. | Insurance company or agency |
| PENTEGRA SERVICES, INC. | Pension consultant |
| PENTEGRA TRUST COMPANY | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PENTEGRA CO-INVEST 2017-1 LLC | SINGLE-ASSET CO-INVESTMENT FUND | $4.2M | $0.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PENTEGRA SERVICES, INC. | Domestic Entity | – | PARENT | 08/2008 | > 75% |
| PENTEGRA DEFINED BENEFIT PLAN FOR FINANCIAL INSTITUTIONS | Domestic Entity | PENTEGRA SERVICES, INC | SHAREHOLDER | 08/2008 | > 75% |
| STONE, SCOTT, MITCHELL | Individual | – | PRESIDENT, CHIEF INVESTMENT OFFICER | 06/2011 | < 5% |
| SORRENTINO, CHARLES, S | Individual | – | CHIEF FINANCIAL OFFICER | 08/2012 | < 5% |
| ERNST, LARS, GERHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2015 | < 5% |
| FINNEGAN, KEVIN, O | Individual | – | SVP, GENERAL COUNSEL | 03/2023 | < 5% |
| WIETSMA, ERIC, HANS | Individual | – | DIRECTOR | 07/2023 | < 5% |