# Pettee Investors Inc

> Pettee Investors Inc is an SEC-registered investment advisory firm in Rowayton, CT, registered since 1989, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 105553
- Filed as: PETTEE INVESTORS INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rowayton, CT
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105553
- AdvisorCensus page: https://advisorcensus.com/firm/pettee-investors-inc-rowayton-ct-105553

## Quick answers

**How is Pettee Investors Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Pettee Investors Inc reports these compensation arrangements: a percentage of assets under its management.

**How much does Pettee Investors Inc charge?**
Its Form ADV Part 2A brochure dated March 16, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Pettee Investors Inc located?**
Pettee Investors Inc's principal office is in Rowayton, CT, according to its Form ADV.

**Is Pettee Investors Inc registered with the SEC or a state?**
Pettee Investors Inc is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 105553.

**How much does Pettee Investors Inc manage?**
Pettee Investors Inc reports $191,874,111 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (100% discretionary).

**How have Pettee Investors Inc's assets and staff changed since 2021?**
In the Form ADV data for Pettee Investors Inc: Regulatory assets under management: $208,676,207 in the October 2021 data and $191,874,111 in the October 2026 data, down 8%. Total employees: 3 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Pettee Investors Inc serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (27).

**Which custodians does Pettee Investors Inc use?**
Pettee Investors Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., J.P. Morgan Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co. LLC as custodians holding 10% or more of its separately managed account assets.

**Does Pettee 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/105553

**Does Pettee Investors Inc state an account minimum?**
Its Form ADV Part 2A brochure dated March 16, 2026 says: "Clients are required to have a minimum account size of $1,000,000 for investment management services, although Pettee Investors retains the right to reduce or waive this minimum account size."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 16, 2026)

- Asset-based fee: up to 1% of assets a year (the maximum the brochure states)

> The annual fee for Investment Management Services is charged as a percentage of assets under management and will not exceed 1.00% of the value of the client’s account.

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> Clients are required to have a minimum account size of $1,000,000 for investment management services, although Pettee Investors retains the right to reduce or waive this minimum account size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- J.P. Morgan Securities Inc.
- Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Morgan Stanley & Co. LLC

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: $191,874,111
- Discretionary: $191,874,111
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $1,718,783 |
| High net worth individuals | 27 | $176,760,914 |
| Charitable organizations | Fewer than 5 | $12,887,620 |
| Corporations or other businesses not listed above | Fewer than 5 | $506,794 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 1989 (37 years)
- Employees: 6 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [petteeinvestors.com](https://petteeinvestors.com)
- LinkedIn @PETTEE-INVESTORS-INC.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $208,676,207 | 3 | March 10, 2021 |
| October 2022 | $256,404,636 | 4 | March 24, 2022 |
| October 2023 | $225,864,979 | 4 | February 27, 2023 |
| October 2024 | $232,326,869 | 6 | March 28, 2024 |
| October 2025 | $211,917,130 | 6 | March 29, 2025 |
| October 2026 | $191,874,111 | 6 | March 17, 2026 |

Regulatory assets under management: $208,676,207 in the October 2021 data and $191,874,111 in the October 2026 data, down 8%.
Total employees: 3 in October 2021 and 6 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pettee Investors Inc (CRD 105553): Form ADV filing data as of October 2026.