AdvisorCensus / Financial advisors / Connecticut / Waterbury / Pentegra Investors, Inc.
Pentegra Investors, Inc. is an SEC-registered investment advisory firm in Shelton, CT, registered since 1990, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 22, 2026.
Quick answers
From the filingHow is Pentegra Investors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Pentegra Investors, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
Where is Pentegra Investors, Inc. located?
Pentegra Investors, Inc.'s principal office is in Shelton, CT, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Pentegra Investors, Inc. registered with the SEC or a state?
Pentegra Investors, Inc. is an SEC-registered investment advisory firm, registered since 1990. Status as filed: Approved. CRD 111503.
How much does Pentegra Investors, Inc. manage?
Pentegra Investors, Inc. reports $5,602,899,971 in regulatory assets under management in its Form ADV filing dated May 22, 2026 (58% discretionary).
How have Pentegra Investors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Pentegra Investors, Inc.: Regulatory assets under management: $7,167,233,761 in the October 2021 data and $5,602,899,971 in the October 2026 data, down 22%. Total employees: 16 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Pentegra Investors, Inc. serve?
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (248); pooled investment vehicles (other than investment companies and business development companies) (2).
Which custodians does Pentegra Investors, Inc. use?
Pentegra Investors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of New York Mellon and Empower Trust Company as custodians holding 10% or more of its separately managed account assets.
Does Pentegra Investors, Inc. 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/111503
Does Pentegra Investors, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 25, 2026 says: "Pentegra Investors does not have a minimum fee or minimum account size; however, Pentegra Investors may decline to accept a client if the amount of assets to be managed is not large enough to allow Pentegra Investors to manage them effectively."
What changed in Pentegra Investors, Inc.'s recent Form ADV filings?
In the June 2026 filing data: No longer lists an office in Shelton, CT.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: None
The brochure's wording
Pentegra Investors does not have a minimum fee or minimum account size; however, Pentegra Investors may decline to accept a client if the amount of assets to be managed is not large enough to allow Pentegra Investors to manage them effectively.
As stated in the firm's Form ADV Part 2A brochure dated March 25, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$5,602,899,971 as of October 2026, filing dated May 22, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1990 (36 years)
- Employees
- Total: 13. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $5,602,899,971 | 13 | May 22, 2026 |
| October 2025 | $5,507,349,576 | 16 | March 25, 2025 |
| October 2024 | $5,895,243,080 | 14 | March 27, 2024 |
| October 2023 | $6,243,737,063 | 13 | March 28, 2023 |
| October 2022 | $7,527,180,264 | 15 | March 30, 2022 |
| October 2021 | $7,167,233,761 | 16 | March 26, 2021 |
Regulatory assets under management: $7,167,233,761 in the October 2021 data and $5,602,899,971 in the October 2026 data, down 22%.
Total employees: 16 in October 2021 and 13 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- June 2026
- No longer lists an office in Shelton, CT.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Pentegra Investors, Inc. (CRD 111503): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503