{"url":"https://nivawealth.com/firms/pegasus-financial-group-145127","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145127","regulatoryAum":122320436,"crd":"145127","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1343419","suffix":null,"lastName":"MOSS","firstName":"STEPHEN","middleName":"MICHAEL"},{"crd":"6860814","suffix":null,"lastName":"Slupe","firstName":"David","middleName":"Charles"},{"crd":"5954235","suffix":null,"lastName":"WELSH","firstName":"THOMAS","middleName":"MCATEER"}],"total":3,"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":"801-135939","legalName":"Pegasus Financial Group LLC","displayName":"Pegasus Financial Group","slug":"pegasus-financial-group-145127","website":"https://pegasusfg.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Virginia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4211 Pleasant Valley Road, Suite 260","city":"Chantilly","state":"VA","stateName":"Virginia","country":"United States","postalCode":"20151"},"tradeNames":[],"registration":{"secApproved":"22 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":595414.6568627451,"staff":{"employees":4,"advisory":3,"brokerDealerReps":3,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":122320436,"discretionary":122320436,"discretionaryAccounts":282,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":163,"regulatoryAum":49140590},{"label":"High-net-worth individuals","clients":41,"regulatoryAum":72324000},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":855846}],"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=1045460","versionId":1045460,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-05-18","documentName":"PEGASUS FINANCIAL GROUP ADV 2A-2B","fee_rate_low":0.75,"fee_rate_high":0.95,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning is billed at up to $300 per hour or as an annual fee of up to $3,000, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045460","versionId":1045460,"submittedOn":"2026-05-18","documentName":"PEGASUS FINANCIAL GROUP ADV 2A-2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:38:12.662058+00:00","documents":[{"name":"PEGASUS FINANCIAL GROUP ADV 2A-2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045460","versionId":1045460,"submittedOn":"2026-05-18"}]},"custodians":[{"name":"Axos Clearing LLC","shortName":"Axos Clearing","location":"Omaha, NE","smaAssets":111239101}],"custodyNote":"Pegasus Financial Group does not have custody of client assets.","leadership":[{"name":"Gail Fialkow","title":"Passive Owner","crd":"4611325"},{"name":"Stephen Moss","title":"Owner/COO/CCO","crd":"1343419"}],"ownership":[{"label":"Stephen Moss","detail":"Owner/coo/cco in the 50% to 75% ownership band and a control person, since July 2007."},{"label":"Gail Fialkow","detail":"Passive owner in the 25% to 50% ownership band and a control person, since July 2007."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"4211 Pleasant Valley Road, Suite 260","city":"Chantilly","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"703-956-6662","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"Securities issued by registered investment companies or business development companies","percent":67},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"18 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145127/PDF/145127.pdf","brochureDate":"18 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045460","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 Pegasus Financial Group have?","answer":"Pegasus Financial Group has 204 clients and manages $122 million for them, as of May 2026. They include 163 individual clients and 41 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Pegasus Financial Group offer?","answer":"Pegasus Financial Group provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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 Pegasus Financial Group charge?","answer":"Pegasus Financial Group charges 0.75%–0.95% a year for its Investment management services. The fee is billed in advance and is negotiable.","source":"PEGASUS FINANCIAL GROUP ADV 2A-2B, filed 18 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Pegasus Financial Group use?","answer":"Pegasus Financial Group’s separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $111M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Pegasus Financial Group have?","answer":"Pegasus Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 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 Pegasus Financial Group invest in?","answer":"At the end of its last fiscal year, Pegasus Financial Group’s separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities and 8% cash and equivalents.","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 Pegasus Financial Group?","answer":"Pegasus Financial Group’s direct owners are Stephen Moss (50% to 75%) and Gail Fialkow (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 18 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pegasus Financial Group get paid?","answer":"Pegasus Financial Group is paid through a percentage of assets under management, hourly charges 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":"Is Pegasus Financial Group registered with the SEC?","answer":"Yes, Pegasus Financial Group has been registered with the SEC as an investment adviser since 22 April 2026. Its CRD number is 145127 and its SEC file number is 801-135939.","source":"Form ADV Part 1A, Item 1, filed 18 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Pegasus Financial Group?","answer":"Pegasus Financial Group’s main office is at 4211 Pleasant Valley Road, Suite 260, Chantilly, VA 20151. Its phone number is 703-956-6662. Its website is pegasusfg.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 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."}