# Polygon Investment Management

> Polygon Investment Management is a state-registered investment advisory firm, registered since 2022, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 123291
- Filed as: POLYGON INVESTMENT MANAGEMENT
- Legal name: Polygon Investment Management, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Wyoming
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/123291
- AdvisorCensus page: https://advisorcensus.com/firm/polygon-investment-management-123291

## Quick answers

**How is Polygon Investment Management compensated?**
On its Form ADV (Item 5.E, October 2026), Polygon Investment Management reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Is Polygon Investment Management registered with the SEC or a state?**
Polygon Investment Management is a state-registered investment advisory firm, registered since 2022. Status as filed: APPROVED. CRD 123291.

**How much does Polygon Investment Management manage?**
Polygon Investment Management reports $28,733,609 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**What types of clients does Polygon Investment Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (6).

**Does Polygon Investment Management report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/123291

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $28,733,609
- Discretionary: $28,733,609
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 6 | $23,432,388 |
| Charitable organizations | Fewer than 5 | $293,924 |
| Corporations or other businesses not listed above | Fewer than 5 | $4,755,693 |
| Other | Fewer than 5 | $251,604 |

### 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: 2022 (4 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- polygonim.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Polygon Investment Management (CRD 123291): Form ADV filing data as of October 2026.