SourcingSourcing

GENEREUX INVESTMENT MANAGEMENT, INC.

A65
CRD 117436·SEC 801-112129
AUM
$129.3M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$388K
@ 30% margin
Est. Deal Value
$3.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GENEREUX INVESTMENT MANAGEMENT, INC.
CRD
117436
SEC file #
801-112129
EIN
—
DBA names
—

Economics

AUM
$129.3M
AUM band
$100M-$500M
AUM trajectory
'20'26
$100.0M → $129.3M▲ +29%
Client mix
Individuals High Net Worth54
Individuals Other22
Charitable Organizations1

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUM

Filings

Latest ADV filing
01/20/2026
ADV-W filed at
—
Website
genereux.net

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GENEREUX, MARK, ALAN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
GENEREUX, MARK, ALAN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
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
GENEREUX.NET
Rdap Domain Creation Date
2000-10-02T21:58:32Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Register.com - Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Rdap Domain Expiration Date
2027-10-02T21:58:32Z
Rdap Domain Last Changed
2018-07-09T16:24:04Z
Rdap Nameservers
Ns1.bdm.microsoftonline.comNs2.bdm.microsoftonline.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1814740
Trust Company Affiliate
No

People (4)

4
GENEREUX, MARK, ALAN
IAR · Direct Owner · 87.5%
1814740
ROBERT G FILLMORE
IAR
836493
LARY MATTHEW WEINTRAUB
IAR
2304018
JACOBSON, PHIL, L
IAR
4172462