{"url":"https://nivawealth.com/firms/palisade-investments-124776","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124776","regulatoryAum":652721964,"crd":"124776","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2397695","suffix":null,"lastName":"BURKETT","firstName":"STEVEN","middleName":"MICHAEL"},{"crd":"2779694","suffix":null,"lastName":"DESOTA","firstName":"ROBIN","middleName":null},{"crd":"2180597","suffix":null,"lastName":"LENTZ","firstName":"MICHAEL","middleName":"L"},{"crd":"2773236","suffix":null,"lastName":"MILLER","firstName":"SCOTT","middleName":"THOMAS"},{"crd":"4042499","suffix":null,"lastName":"PRIDE","firstName":"KAREN","middleName":"MARILEA"},{"crd":"8213894","suffix":null,"lastName":"Pride","firstName":"Michael","middleName":"Jerrad"},{"crd":"7130701","suffix":null,"lastName":"Sidney","firstName":"Lawrence","middleName":"H"}],"total":7,"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":"2021-03-31","regulatoryAum":370334884,"clients":394,"employees":6,"offices":4},{"filedOn":"2022-03-31","regulatoryAum":421006069,"clients":492,"employees":5,"offices":4},{"filedOn":"2023-04-05","regulatoryAum":393519104,"clients":584,"employees":5,"offices":4},{"filedOn":"2024-03-29","regulatoryAum":464596426,"clients":627,"employees":7,"offices":4},{"filedOn":"2025-03-31","regulatoryAum":512987448,"clients":537,"employees":7,"offices":4},{"filedOn":"2026-07-16","regulatoryAum":652721964,"clients":668,"employees":8,"offices":5}],"secFileNumber":"801-80001","legalName":"Palisade Investments, LLC","displayName":"Palisade Investments","slug":"palisade-investments-124776","website":"https://palisadeinvestments.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/124776/a98b16e5f79497e1-r1.webp","tone":"dark","width":341,"height":200,"sourceUrl":"https://palisadeinvestments.com/","sourceLabel":"Palisade Investments, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Nevada limited liability company","fiscalYearEnd":"December","headquarters":{"street":"625 Highway 50, Suite 301","city":"Zephyr Cove","state":"NV","stateName":"Nevada","country":"United States","postalCode":"89448-3049"},"tradeNames":["Palisade Investments","Palisade Investments Las Vegas","Palisade Investments Pacific Northwest, LLC","Palisade Investments Rocky Mountain Region","Palisade Investments, LLC"],"registration":{"secApproved":"14 July 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":566618.4705882353,"staff":{"employees":8,"advisory":7,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":652721964,"discretionary":325644350,"discretionaryAccounts":1084,"nonDiscretionary":327077614,"nonDiscretionaryAccounts":130,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":442,"regulatoryAum":99711905},{"label":"High-net-worth individuals","clients":136,"regulatoryAum":227793571},{"label":"Pension and profit-sharing plans","clients":80,"regulatoryAum":320677096},{"label":"Charitable organizations","clients":5,"regulatoryAum":1585335},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":2954057}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T06:26:51.104134+00:00","documents":[{"name":"PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027204","versionId":1027204,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"Ascensus Trust Company","shortName":"Ascensus Trust","location":"Fargo, ND","smaAssets":35200000},{"name":"Charles Schwab & Co","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":220000000},{"name":"Broadridge, Inc.","shortName":"Broadridge","location":"Lake Success, NY","smaAssets":32000000},{"name":"Reliance Trust Company","shortName":"Reliance Trust","location":"Dallas, TX","smaAssets":38000000},{"name":"Fidelity Trust Company","shortName":"Fidelity","location":"Boston, MA","smaAssets":34000000}],"custodyNote":"Palisade Investments does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Robin Desota","title":"Chief Compliance Officer","crd":"2779694"},{"name":"Robin Desota","title":"Managing Member","crd":"2779694"}],"ownership":[{"label":"Robin Desota","detail":"Managing member in the 75% or more ownership band and a control person, since October 2011. Also chief compliance officer in the 75% or more ownership band and a control person, since June 1998."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":1},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1312 17th Street Suite 71956","city":"Denver"}]},{"state":"Nevada","offices":3,"addresses":[{"street":"625 Highway 50, Suite 301","city":"Zephyr Cove","headquarters":true},{"street":"252 E. Neal Avenue","city":"Las Vegas"},{"street":"375 Vassar Street","city":"Reno"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"775-299-4600","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":82},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"16 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124776/PDF/124776.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027204","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 Palisade Investments have?","answer":"Palisade Investments has 668 clients and manages $653 million for them, as of July 2026. They include 442 individual clients, 136 high-net-worth individuals, and 80 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Palisade Investments offer?","answer":"Palisade Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Palisade Investments use?","answer":"Palisade Investments’ separately managed account assets are held at Charles Schwab & Co (El Paso, TX), with $220M, Reliance Trust Company (Dallas, TX), with $38M, Ascensus Trust Company (Fargo, ND), with $35.2M, Fidelity Trust Company (Boston, MA), with $34M and Broadridge, Inc. (Lake Success, NY), with $32M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Palisade Investments have?","answer":"Palisade Investments has 7 investment adviser representatives registered with state securities authorities, out of 8 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","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 Palisade Investments invest in?","answer":"At the end of its last fiscal year, Palisade Investments’ separately managed accounts held 82% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities, 4% cash and equivalents, 2% non-exchange-traded equities, 2% U.S. government and agency bonds, 2% state and local bonds and 1% investment grade corporate 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 Palisade Investments?","answer":"Palisade Investments’ direct owner is Robin Desota (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Palisade Investments get paid?","answer":"Palisade Investments is paid through a percentage of assets under management and fixed fees. 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 Palisade Investments?","answer":"Palisade Investments’ main office is at 625 Highway 50, Suite 301, Zephyr Cove, NV 89448-3049. Its phone number is 775-299-4600. Its website is palisadeinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 July 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."}