# Pullen Investment Management

> Pullen Investment Management is an SEC-registered investment advisory firm in Bradenton, FL, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 16, 2026.

- CRD: 310149
- Filed as: PULLEN INVESTMENT MANAGEMENT
- Legal name: Pullen Investment Management, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Bradenton, FL
- Filing period: October 2026
- Form ADV filing dated: February 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/310149
- AdvisorCensus page: https://advisorcensus.com/firm/pullen-investment-management-bradenton-fl-310149

## Quick answers

**How is Pullen Investment Management compensated?**
On its Form ADV (Item 5.E, October 2026), Pullen Investment Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**How much does Pullen Investment Management charge?**
Its Form ADV Part 2A brochure dated February 16, 2026 states: Flat fee: up to $5,000 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Pullen Investment Management located?**
Pullen Investment Management's principal office is in Bradenton, FL, according to its Form ADV.

**Is Pullen Investment Management registered with the SEC or a state?**
Pullen Investment Management is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 310149.

**How much does Pullen Investment Management manage?**
Pullen Investment Management reports $220,954,261 in regulatory assets under management in its Form ADV filing dated February 16, 2026 (100% discretionary).

**How have Pullen Investment Management's assets and staff changed since 2023?**
In the Form ADV data for Pullen Investment Management: Regulatory assets under management: $131,743,472 in the October 2023 data and $220,954,261 in the October 2026 data, up 68%. Total employees: 3 in October 2023 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Pullen Investment Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (47); individuals (other than high net worth individuals) (37); pension and profit sharing plans (but not the plan participants or government pension plans) (6).

**Which custodians does Pullen Investment Management use?**
Pullen Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Pullen 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 SEC record: https://adviserinfo.sec.gov/firm/summary/310149

**What changed in Pullen Investment Management's recent Form ADV filings?**
In the March 2026 filing data: Employees performing advisory functions went from 2 to 4. Regulatory assets under management went from $184,095,709 to $220,954,261 (+20%). No longer lists an office in Bradenton, FL.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

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

- Flat fee: up to $5,000 (financial planning and consulting services)

> PIM provides financial planning and consulting services under a fixed fee arrangement. A fixed fee of up to a maximum of $5000 is charged by PIM for financial planning and consulting services under this arrangement.

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.

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: $220,954,261
- Discretionary: $220,954,261
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 37 | $12,692,297 |
| High net worth individuals | 47 | $125,206,021 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $66,133,663 |
| Charitable organizations | Fewer than 5 | $12,448,966 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $4,473,314 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2023 (3 years)
- Employees: 5 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, LA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- pulleninvestment.com
- Facebook facebook.com
- LinkedIn @pullen-investment-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $131,743,472 | 3 | September 1, 2023 |
| October 2024 | $140,525,863 | 4 | March 5, 2024 |
| October 2025 | $184,095,709 | 4 | March 6, 2025 |
| October 2026 | $220,954,261 | 5 | February 16, 2026 |

Regulatory assets under management: $131,743,472 in the October 2023 data and $220,954,261 in the October 2026 data, up 68%.
Total employees: 3 in October 2023 and 5 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Employees performing advisory functions went from 2 to 4.
- Regulatory assets under management went from $184,095,709 to $220,954,261 (+20%).
- No longer lists an office in Bradenton, FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pullen Investment Management (CRD 310149): Form ADV filing data as of October 2026.