SourcingSourcing

PUGH CAPITAL MANAGEMENT, INC.

C28
CRD 111765·SEC 801-39138·SEATTLE, WA
AUM
$12.82B
$1B+
Est. Revenue
$128.2M
@ 1% on AUM
Est. EBITDA
$38.5M
@ 30% margin
Est. Deal Value
$307.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PUGH CAPITAL MANAGEMENT, INC.
CRD
111765
SEC file #
801-39138
EIN
352458342
DBA names
—

Economics

AUM
$12.82B
AUM band
$1B+
AUM trajectory
'20'26
$7.21B → $12.82B▲ +78%
Client mix
State Or Municipal Govt17
Pension Profit Sharing Plans13
Charitable Organizations11
Corporations3
Pooled Investment Vehicles2

Operations

Employees (total)
39
Advisory staff (per ADV)
22
Advisory staff (5-yr trend)
'20'26
12 advisors → 22 advisors▲ +83%
Primary office
SEATTLE WA
Branches
—

Custodian & Brokerage

Primary custodian
State Streetlow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
pughcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PUGH, MARY, E.
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
PUGH, MARY, E.
HOBSON, DEANNA, DEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PUGHCAPITAL.COM
Rdap Domain Creation Date
2000-02-10T18:27:14Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
9
Form 5500 Total Compensation
3,134,029
Form 5500 Compensation Trajectory 3y
20253,134,029
Form 5500 Plan Count Trajectory 3y
20259
Schedule C Total Compensation
3,134,029
Schedule C Service Provider Rows
9

SEC EDGAR

Edgar Cik
0001567063
Edgar Registered
Yes
Edgar Filing Count
14
Edgar First Filing Date
2013-01-24
Edgar Last Filing Date
2025-04-25
Edgar Form D Count
14
Edgar Form D Offerings
2025-04-252025-04-25 · 0000945621-25-000363
2024-04-262024-04-26 · 0000945621-24-000372
Edgar Former Names
SKY Harbor Broad High Yield Market Partners, LP

Compliance & brand

Firm Registration Status
active

All other collected signals (18)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
State Street4
Bny Mellon4
E*trade4
Northern Trust2
Edgar Addresses
Mailing
520 PIKE STREET, SUITE 2900SEATTLE, WA 98101
Business
520 PIKE STREET, SUITE 2900SEATTLE, WA 98101
Edgar EIN
352458342
Edgar Recent Filings
D/A2025-04-25 · 0000945621-25-000363
D/A2024-04-26 · 0000945621-24-000372
Fee Schedule
Bracket Iii31
Bracket Vi29
Bracket Xii24
Bracket Vii14
Bracket I0
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-02-10T18:27:14Z
Rdap Domain Last Changed
2024-12-12T12:04:23Z
Rdap Nameservers
Ns81.worldnic.comNs82.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2138699
Trust Company Affiliate
No

People (9)

9
PUGH, MARY, E.
IAR · Direct Owner · 37.5%
2138699
HOBSON, DEANNA, DEE
Direct Owner · 7.5%
2846838
LARSON, JEAN-DAVID, HENRI PASCAL
Direct Owner · 7.5%
7087467
COOK, RYAN, DOUGLAS
Direct Owner · 7.5%
6385198
LOU, YUYAN
Direct Owner · 7.5%
5626065
MOYE, GREGORY, PAUL
Executive Officer · 2.5%
2951446
DARIUS BENI CAYETANO
IAR
6111973
CHRISTOPHER NAOTO KELLEY
IAR
5156813
ADRIAN SEAN JOHNSON
IAR
3021358