{ "crd_number": 111503, "slug": "pentegra-investors-inc-shelton-ct-111503", "primary_business_name": "PENTEGRA INVESTORS, INC.", "legal_name": "PENTEGRA INVESTORS, INC.", "dbas": [], "city": "Shelton", "state": "CT", "country": "United States", "cbsa_code": "47930", "metro": { "cbsa_code": "47930", "common_name": "Waterbury", "msa_name": "Waterbury-Shelton, CT", "path": "/advisors/ct/waterbury" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1990-08-01", "years_registered": 36, "period": "2026-10-01", "filing_date": "2026-05-22", "carried_forward": false, "raum_total": 5602899971.0, "raum_discretionary": 3254046945.0, "raum_non_discretionary": 2348853026.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 13, "advisory_employees": 5, "client_count_bucket": null, "clients_by_type": { "pension_profit_sharing": { "raum": 5596216422.0, "count": 248 }, "pooled_investment_vehicles": { "raum": 6683549.0, "count": 2 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "other", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT", "NJ", "NY" ], "websites": [ "https://pentegra.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111503", "city_as_filed": "SHELTON", "url": "https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503", "display_name": "Pentegra Investors, Inc.", "summary": "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.", "citation": "AdvisorCensus. Pentegra Investors, Inc. (CRD 111503): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "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" ], "quick_answers": [ { "q": "How is Pentegra Investors, Inc. compensated?", "a": "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)." }, { "q": "Where is Pentegra Investors, Inc. located?", "a": "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)." }, { "q": "Is Pentegra Investors, Inc. registered with the SEC or a state?", "a": "Pentegra Investors, Inc. is an SEC-registered investment advisory firm, registered since 1990. Status as filed: Approved. CRD 111503." }, { "q": "How much does Pentegra Investors, Inc. manage?", "a": "Pentegra Investors, Inc. reports $5,602,899,971 in regulatory assets under management in its Form ADV filing dated May 22, 2026 (58% discretionary)." }, { "q": "How have Pentegra Investors, Inc.'s assets and staff changed since 2021?", "a": "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." }, { "q": "What types of clients does Pentegra Investors, Inc. serve?", "a": "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)." }, { "q": "Which custodians does Pentegra Investors, Inc. use?", "a": "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." }, { "q": "Does Pentegra Investors, Inc. report any disciplinary disclosures?", "a": "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" }, { "q": "Does Pentegra Investors, Inc. state an account minimum?", "a": "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.\"" }, { "q": "What changed in Pentegra Investors, Inc.'s recent Form ADV filings?", "a": "In the June 2026 filing data: No longer lists an office in Shelton, CT." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 7167233761.0, "total_employees": 16, "filing_date": "2021-03-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7527180264.0, "total_employees": 15, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6243737063.0, "total_employees": 13, "filing_date": "2023-03-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5895243080.0, "total_employees": 14, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5507349576.0, "total_employees": 16, "filing_date": "2025-03-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5602899971.0, "total_employees": 13, "filing_date": "2026-05-22" } ], "recent_changes": [ { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "No longer lists an office in Shelton, CT." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 25, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "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." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "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." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Bank of New York Mellon", "name_as_filed": "BANK OF NEW YORK MELLON", "affiliated": false }, { "name": "Empower Trust Company", "name_as_filed": "EMPOWER TRUST COMPANY", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 6683549.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 248, "fewer_than_5": false, "raum": 5596216422.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/111503", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }