{"url":"https://nivawealth.com/firms/catalyst-investment-management-298122","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298122","regulatoryAum":129810000,"crd":"298122","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1467923","suffix":null,"lastName":"MCENANEY","firstName":"THOMAS","middleName":"BRIAN"},{"crd":"1308350","suffix":null,"lastName":"SHEA","firstName":"NICHOLAS","middleName":"JOSEPH"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-02-23","regulatoryAum":107200000,"clients":131,"employees":5,"offices":3},{"filedOn":"2024-06-18","regulatoryAum":124000000,"clients":149,"employees":5,"offices":3},{"filedOn":"2025-04-28","regulatoryAum":121999175,"clients":116,"employees":4,"offices":3},{"filedOn":"2026-05-04","regulatoryAum":129810000,"clients":60,"employees":4,"offices":3}],"secFileNumber":"801-127508","legalName":"Catalyst Investment Management LLC","displayName":"Catalyst Investment Management","slug":"catalyst-investment-management-298122","website":"https://catalystinvestmentmanagement.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New Hampshire limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"23 March 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2163500,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":129810000,"discretionary":129810000,"discretionaryAccounts":214,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":129810000,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":25,"regulatoryAum":9191451},{"label":"High-net-worth individuals","clients":35,"regulatoryAum":120618549}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043892","versionId":1043892,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-05-04","documentName":"CATALYST DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is billed hourly at $250 per hour, negotiable, with an estimate of hours and costs provided before engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043892","versionId":1043892,"submittedOn":"2026-05-04","documentName":"CATALYST DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:07:56.492725+00:00","documents":[{"name":"CATALYST DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043892","versionId":1043892,"submittedOn":"2026-05-04"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":129810000}],"custodyNote":"Catalyst Investment Management has custody of $52M for 49 clients.","otherCustodians":[],"leadership":[{"name":"Nicholas Shea","title":"Managing Member and Chief Compliance Officer","crd":"1308350"},{"name":"Dawn Atkins","title":"Principal","crd":"7924578"}],"ownership":[{"label":"Nicholas Shea","detail":"Managing member and chief compliance officer in the 50% to 75% ownership band and a control person, since July 2018."},{"label":"Dawn Atkins","detail":"Principal in the 25% to 50% ownership band and a control person, since February 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Maine","offices":1,"addresses":[{"street":"New Gloucester Hall","city":"New Gloucester"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"603-952-1209","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":73},{"label":"Non-exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"4 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/298122/PDF/298122.pdf","brochureDate":"4 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043892","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Catalyst Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Catalyst Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Catalyst Investment Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Catalyst Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Catalyst Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Catalyst Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Catalyst Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Catalyst Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Catalyst Investment Management?","answer":"Its phone number is 603-952-1209. Its website is catalystinvestmentmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}