{ "crd_number": 114079, "slug": "pegasus-investment-management-llc-114079", "primary_business_name": "PEGASUS INVESTMENT MANAGEMENT LLC", "legal_name": "PEGASUS INVESTMENT MANAGEMENT LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2011-05-27", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-04-30", "carried_forward": false, "raum_total": 30000000.0, "raum_discretionary": 1500000.0, "raum_non_discretionary": 28500000.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 30000000.0, "count": 11 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 8, "states_registered": [ "WA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/114079", "listing_state": "WA", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(3)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "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?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/pegasus-investment-management-llc-114079", "display_name": "Pegasus Investment Management LLC", "summary": "Pegasus Investment Management LLC is a state-registered investment advisory firm, registered since 2011, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated April 30, 2026.", "citation": "AdvisorCensus. Pegasus Investment Management LLC (CRD 114079): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Pegasus Investment Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Pegasus Investment Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Is Pegasus Investment Management LLC registered with the SEC or a state?", "a": "Pegasus Investment Management LLC is a state-registered investment advisory firm, registered since 2011. Status as filed: APPROVED. CRD 114079." }, { "q": "How much does Pegasus Investment Management LLC manage?", "a": "Pegasus Investment Management LLC reports $30,000,000 in regulatory assets under management in its Form ADV filing dated April 30, 2026 (5% discretionary)." }, { "q": "What types of clients does Pegasus Investment Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (11)." }, { "q": "Does Pegasus Investment Management LLC report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(1), 11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(1), 11.D(4), 11.G). 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/114079" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/pegasus-investment-management-llc-114079.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 11, "fewer_than_5": false, "raum": 30000000.0 } ], "disclosure_line": "Reports 8 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/114079", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }