Catalyst Investment Management provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 1–10 clients last fiscal year.
Catalyst Investment Management reports 60 clients. They include 35 high-net-worth individuals and 25 individual clients. Of its assets, 100.0% ($130M across 214 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $130M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 42% | 7% |
| High-net-worth individuals | 58% | 93% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 25 | $9.19M | 7.1% | $368K |
| High-net-worth individuals | 35 | $121M | 92.9% | $3.45M |
| Total | 60 | $130M | 100% | $2.16M |
- Clients
- 25
- Regulatory AUM
- $9.19M
- AUM share
- 7.1%
- Avg. per client
- $368K
- Clients
- 35
- Regulatory AUM
- $121M
- AUM share
- 92.9%
- Avg. per client
- $3.45M
Total
- Clients
- 60
- Regulatory AUM
- $130M
- AUM share
- 100%
- Avg. per client
- $2.16M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Catalyst Investment Management charges 0.75%–1.25% a year for its Investment Management Services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Services
- Financial planning is billed hourly at $250 per hour, negotiable, with an estimate of hours and costs provided before engagement.
Nicholas Shea owns 50% to 75% of Catalyst Investment Management. The leadership team of Catalyst Investment Management includes Chief Compliance Officer Nicholas Shea. It has 4 employees, 2 of them in advisory roles.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 insurance agent
- Owns 50% to 75% of Catalyst Investment Management LLC
Nicholas Shea
Control person · since July 2018
- Owns 25% to 50% of Catalyst Investment Management LLC
Dawn Atkins
Control person · since February 2021
Catalyst Investment Management’s regulatory assets grew from $107M (February 2023) to $130M (May 2026); clients fell from 131 to 60 and employees from 5 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $130M | 60 | 4 | 3 |
| Apr 2025April 2025 | $122M | 116 | 4 | 3 |
| Jun 2024June 2024 | $124M | 149 | 5 | 3 |
| Feb 2023February 2023 | $107M | 131 | 5 | 3 |
Besides its headquarters, Catalyst Investment Management has 2 offices (1 private residence, listed without an address), with 2 listed addresses in 1 state.
Maine · 1 listed address
- New Gloucester Hall, New Gloucester
Choose a state to see its listed addresses.
Contact and registration details
- Legal name
- Catalyst Investment Management LLC
- Headquarters
- Not reported
- Phone
- 603-952-1209
- SEC file
- 801-127508
- Structure
- New Hampshire LLC
- Fiscal year end
- December
Catalyst Investment Management’s named custodian for separately managed accounts is Charles Schwab ($130M). Catalyst Investment Management has custody of $52M for 49 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $130M100%
At year end, Catalyst Investment Management’s separately managed accounts were mostly in stocks (90%).
What the accounts hold
- Stocks90%
- Exchange-traded equities73%
- Non-exchange-traded equities17%
- Funds6%
- Bonds2%
- U.S. government and agency bonds1%
- State and local bonds1%
- Cash2%
How many clients does Catalyst Investment Management have?
Catalyst Investment Management has 60 clients and manages $130 million for them, as of May 2026. They include 35 high-net-worth individuals and 25 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 May 2026
What services does Catalyst Investment Management offer?
Catalyst Investment Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Catalyst Investment Management charge?
Catalyst Investment Management charges 0.75%–1.25% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Source: CATALYST DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT, filed 4 May 2026
Which custodians does Catalyst Investment Management use?
Catalyst Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $130M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 May 2026
How many financial advisors does Catalyst Investment Management have?
Catalyst Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Catalyst Investment Management invest in?
At the end of its last fiscal year, Catalyst Investment Management’s separately managed accounts held 73% exchange-traded equities, 17% non-exchange-traded equities, 6% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Catalyst Investment Management?
Catalyst Investment Management’s direct owners are Nicholas Shea (50% to 75%) and Dawn Atkins (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 4 May 2026
How does Catalyst Investment Management get paid?
Catalyst Investment Management is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Catalyst Investment Management?
Its phone number is 603-952-1209. Its website is catalystinvestmentmanagement.com.