{"url":"https://nivawealth.com/firms/pasnau-investment-management-125647","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/125647","regulatoryAum":128752000,"crd":"125647","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8135593","suffix":null,"lastName":"Edmund","firstName":"Benjamin","middleName":null},{"crd":"4417325","suffix":null,"lastName":"PASNAU","firstName":"WILLIAM","middleName":"C."}],"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"},"secFileNumber":"801-134617","legalName":"Pasnau Investment Management, Inc.","displayName":"Pasnau Investment 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band and a control person, since June 1999."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"860-354-9903","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":61},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":11},{"label":"Cash and cash equivalents","percent":15}],"privateFunds":0},"sources":{"adv1FilingDate":"24 August 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They include 208 individual clients and 25 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Pasnau Investment Management offer?","answer":"Pasnau Investment Management provides 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 Pasnau Investment Management charge?","answer":"Pasnau Investment Management charges 0.75%–1.00% a year for its Portfolio management services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"PASNAU INVESTMENT MANAGEMENT, INC._ADV PART 2A BROCHURE, filed 19 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Pasnau Investment Management use?","answer":"Pasnau Investment Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $129M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Pasnau Investment Management have?","answer":"Pasnau Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Pasnau Investment Management invest in?","answer":"At the end of its last fiscal year, Pasnau Investment Management’s separately managed accounts held 61% exchange-traded equities, 15% cash and equivalents, 11% registered funds (mutual funds, ETFs, BDCs), 10% U.S. government and agency bonds, 2% investment grade corporate 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 Pasnau Investment Management?","answer":"Pasnau Investment Management’s direct owner is William Pasnau (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pasnau Investment Management get paid?","answer":"Pasnau Investment Management is paid through a percentage of assets under management. 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 Pasnau Investment Management?","answer":"Its phone number is 860-354-9903. Its website is pasnauinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 August 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."}