# Convoy Investments, LLC

> Convoy Investments, LLC is an SEC-registered investment advisory firm, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 10, 2026.

- CRD: 174969
- Filed as: CONVOY INVESTMENTS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/174969
- AdvisorCensus page: https://advisorcensus.com/firm/convoy-investments-llc-174969

## Quick answers

**How is Convoy Investments, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Convoy Investments, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Convoy Investments, LLC registered with the SEC or a state?**
Convoy Investments, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 174969.

**How much does Convoy Investments, LLC manage?**
Convoy Investments, LLC reports $261,622,231 in regulatory assets under management in its Form ADV filing dated February 10, 2026 (100% discretionary).

**How have Convoy Investments, LLC's assets and staff changed since 2021?**
In the Form ADV data for Convoy Investments, LLC: Regulatory assets under management: $51,803,156 in the October 2021 data and $261,622,231 in the October 2026 data, up 405%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Convoy Investments, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (22); corporations or other businesses not listed above (6); pooled investment vehicles (other than investment companies and business development companies) (4).

**Which custodians does Convoy Investments, LLC use?**
Convoy Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Interactive Brokers LLC and UBS Financial Services Inc. as custodians holding 10% or more of its separately managed account assets.

**Does Convoy Investments, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/174969

**What changed in Convoy Investments, LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $218,589,094 to $261,622,231 (+20%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Interactive Brokers LLC
- UBS Financial Services Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $261,622,231
- Discretionary: $261,622,231
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 22 | $201,747,581 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $24,378,886 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 6 | $35,495,764 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters
- Other

### Firm details
- Registered since: 2015 (11 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- convoyinvestments.com
- X @CONVOY_INVEST

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $51,803,156 | 2 | March 11, 2021 |
| October 2022 | $209,639,176 | 2 | March 29, 2022 |
| October 2023 | $167,012,268 | 2 | March 27, 2023 |
| October 2024 | $186,550,698 | 2 | March 13, 2024 |
| October 2025 | $218,589,094 | 2 | March 24, 2025 |
| October 2026 | $261,622,231 | 2 | February 10, 2026 |

Regulatory assets under management: $51,803,156 in the October 2021 data and $261,622,231 in the October 2026 data, up 405%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $218,589,094 to $261,622,231 (+20%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Convoy Investments, LLC (CRD 174969): Form ADV filing data as of October 2026.