SourcingSourcing

ARROWHEAD INVESTMENT MANAGEMENT LLC

C47
CRD 285032·SEC 801-110360·WHITE PLAINS, NY
AUM
$77.6M
$25M-$100M
Est. Revenue
$776K
@ 1% on AUM
Est. EBITDA
$233K
@ 30% margin
Est. Deal Value
$1.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ARROWHEAD INVESTMENT MANAGEMENT LLC
CRD
285032
SEC file #
801-110360
EIN
—
DBA names
—

Economics

AUM
$77.6M
AUM band
$25M-$100M
AUM trajectory
'20'26
$350.1M → $77.6M▼ -78%
Client mix
Pooled Investment Vehicles1

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
6 advisors → 4 advisors▼ -33%
Primary office
WHITE PLAINS NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based feesOther Compensation

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
arrowheadmgt.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AGC ARROWHEAD HOLDINGS LLC
Top Owner Pct
37.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
AGC ARROWHEAD HOLDINGS LLC
GAY, MARY, PRICE
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
ARROWHEADMGT.COM
Rdap Domain Creation Date
2015-11-09T22:28:47Z
Rdap Firm Age Years
11
Rdap Firm Age Band
10-20y
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

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3302
Soi Zip Pct 200k Plus
0.1374
Soi Zip Returns 200k Plus
870
Soi Zip Total AGI
1,376,872
Fdic Zip Total Deposits
92,534,866,000
Fdic Zip Branch Count
542
Fdic Zip Top Banks
Bank of America, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

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
Wells Fargo2
Fdic Zip Branches Raw
Emigrant Savings BankWhite Plains, NY
Home Savings of America, FSBWhite Plains, NY
Fdic Zip HHI
748.18
Fdic Zip Top Bank Share Pct
13.78
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-11-09T22:28:47Z
Rdap Domain Last Changed
2025-11-04T15:28:10Z
Rdap Nameservers
Ns41.domaincontrol.comNs42.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI17,913
Returns1,470
Stub 2
AGI45,104
Returns1,220
Stub 3
AGI54,996
Returns890
Soi Zip Total Business Income
72,421
Soi Zip Total Cap Gains
363,095
Soi Zip Total Dividends
70,921
Soi Zip Total Returns
6,330
Trust Company Affiliate
No

People (5)

5
GAY, MARY, PRICE
Direct Owner · 37.5%
1719884
PISANI, CRAIG, JOHN
Direct Owner · 37.5%
2949528
JONES, ELLIOTT, HOWARD
Direct Owner · 17.5%
2720421
PARSKY, GERALD, LAWRENCE
Executive Officer · 2.5%
2015312
ASHLEIGH COOPER SWAYZE
Executive Officer · 2.5%
4632543