{ "crd_number": 172695, "slug": "p-e-capital-investments-172695", "primary_business_name": "P/E CAPITAL INVESTMENTS", "legal_name": "P/E CAPITAL INVESTMENT MANAGEMENT PARTNERS", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2014-09-26", "years_registered": 12, "period": "2026-10-01", "filing_date": "2026-06-24", "carried_forward": false, "raum_total": 3620000.0, "raum_discretionary": 3620000.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 3, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 3620000.0, "count": 61 }, "investment_companies": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "commissions", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "educational_seminars", "financial_planning", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 5, "states_registered": [ "CA", "IL", "IN" ], "websites": [ "https://linkedin.com/company/p-e-capital-investments", "https://pecapital.org" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172695", "disclosure_items": [ { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" }, { "item": "11.H(1)(a)", "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" }, { "item": "11.H(1)(c)", "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?" }, { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/p-e-capital-investments-172695", "display_name": "P/E Capital Investments", "summary": "P/E Capital Investments is a state-registered investment advisory firm, registered since 2014, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 24, 2026.", "citation": "AdvisorCensus. P/E Capital Investments (CRD 172695): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Commissions", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is P/E Capital Investments compensated?", "a": "On its Form ADV (Item 5.E, October 2026), P/E Capital Investments reports these compensation arrangements: a percentage of assets under its management; commissions; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Is P/E Capital Investments registered with the SEC or a state?", "a": "P/E Capital Investments is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 172695." }, { "q": "How much does P/E Capital Investments manage?", "a": "P/E Capital Investments reports $3,620,000 in regulatory assets under management in its Form ADV filing dated June 24, 2026 (100% discretionary)." }, { "q": "What types of clients does P/E Capital Investments serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (61)." }, { "q": "Does P/E Capital Investments report any disciplinary disclosures?", "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.G (pending regulatory proceeding), 11.H(1)(a) (court injunction in the past ten years), 11.H(1)(b) (court finding of a violation), 11.H(1)(c) (regulator's civil action dismissed under a settlement), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/172695" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/p-e-capital-investments-172695.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 61, "fewer_than_5": false, "raum": 3620000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172695", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }