SourcingSourcing

PEMBERWICK INVESTMENT ADVISORS, LLC

B51
CRD 149639·SEC 801-70231·GREENWICH, CT
AUM
$173.7M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$521K
@ 30% margin
Est. Deal Value
$4.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PEMBERWICK INVESTMENT ADVISORS, LLC
CRD
149639
SEC file #
801-70231
EIN
—
DBA names
—

Economics

AUM
$173.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$350.3M → $173.7M▼ -50%
Client mix
Investment Companies1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
GREENWICH CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

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

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RICHMAN, ELLEN
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
9
Control Persons
RICHMAN, ELLEN
SALZMAN, DAVID, A
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
PEMBERWICKFUND.COM
Rdap Domain Creation Date
2024-08-29T16:59:19Z
Rdap Firm Age Years
2
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, 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 (14)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
U.s. Bank1
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-08-29T16:59:19Z
Rdap Domain Last Changed
2024-08-29T16:59:19Z
Rdap Nameservers
Pdns09.domaincontrol.comPdns10.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
6301134
Trust Company Affiliate
No

People (9)

9
RICHMAN, ELLEN
Direct Owner · 37.5%
6301134
SALZMAN, DAVID, A
Direct Owner · 37.5%
5667155
RICHMAN, BROOKE, SCHAPPS
Direct Owner · 17.5%
5551841
RICHMAN, RICHARD, PAUL
Direct Owner · 17.5%
1231315
RICHMAN, SCOTT
Direct Owner · 17.5%
4989280
KRISTIN, MILLER, M
Direct Owner · 7.5%
5667157
MYERS, BRIAN, PATRICK
Direct Owner · 7.5%
5667240
HUSSEY, JAMES, P
Executive Officer · 2.5%
5667167
MURPHY, BERNADETTE
Executive Officer · 2.5%
6557947