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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PENSION PARTNERS, LLC

CRD 125772

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1058b9b4-e678-1135-ecd1-effdb5f8be35

Data as of Nov 4, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 6
On other graphs: 0
Observed: Mar 8, 2012 to Nov 4, 2020
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $23.5MItem 5.F on the latest filing (2020-11-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.5M
Private client RAUM: $21.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $23.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 24
Individual clients: 9
High net worth clients: 13
SEC number: 801-68091
CRD: 125772
Filings on the tape: 19
First filed: Mar 8, 2012
Latest filed: Nov 4, 2020
Organised: Limited Liability Company, Puerto Rico

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
EDWARD MICHAEL DEMPSEY	Certified Financial Planner	SAN JUAN, PR	5	39	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DEMPSEY, EDWARD, MICHAEL	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	07/1999	Mar 8, 2012	Nov 4, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Feb 21, 2020	$76.5M	$76.5M	3	2	1	n/a	n/a
2018	Mar 11, 2019	$94.9M	$94.9M	4	2	0	n/a	n/a
2017	Mar 23, 2018	$133M	$133M	5	3	0	n/a	n/a
2016	Mar 31, 2017	$198M	$93.1M	5	3	n/a	n/a	n/a
2015	Mar 30, 2016	$117M	$117M	5	3	n/a	n/a	n/a
2014	Apr 3, 2015	$180M	$80.6M	4	3	n/a	n/a	n/a
2013	Mar 19, 2014	$127M	$127M	7	3	n/a	n/a	n/a
2012	Mar 11, 2013	$69.0M	$69.0M	4	2	n/a	n/a	n/a
2011	Mar 8, 2012	$57.4M	$57.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$23.5M	$94.9M	-75.2%	$198M	-50.8%	1	4	0	0

Relationships

Registered with (1)

← EDWARD MICHAEL DEMPSEYAdvisorregistration: previous registration
Oct 6, 2004 to Nov 4, 2020factForm ADV

Controls (1)

← DEMPSEY, EDWARD, MICHAELOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 8, 2012 to presentfactForm ADV

Dated events

Occurred
Nov 4, 2020
Control person left
Albert Michael Gayed (Member) no longer on Schedule A of Pension Partners, Llc (listed 2020-10-16, absent 2020-11-04)
Form ADVobserved 4 days ago
Occurred
Jun 29, 2020
Control person left
Lee Christopher Payne (Chief Compliance Officer) no longer on Schedule A of Pension Partners, Llc (listed 2020-03-26, absent 2020-06-29)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2020
Succession filed (Item 4)
Pension Partners, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Aug 28, 2019
Control person left
Charles Bryan Haft (Chief Compliance Officer) no longer on Schedule A of Pension Partners, Llc (listed 2019-03-11, absent 2019-08-28)
Form ADVobserved 4 days ago
Occurred
Aug 28, 2019
Control person joined
Lee Christopher Payne (Chief Compliance Officer) appeared on Schedule A of Pension Partners, Llc
Form ADVobserved 4 days ago
Occurred
Mar 11, 2019
Control person joined
Charles Bryan Haft (Chief Compliance Officer) appeared on Schedule A of Pension Partners, Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1058b9b4-e678-1135-ecd1-effdb5f8be35
First observed: Mar 8, 2012
Last observed: Nov 4, 2020 71 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PENSION PARTNERS, LLC

CRD 125772

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1058b9b4-e678-1135-ecd1-effdb5f8be35

Data as of Nov 4, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

EDWARD MICHAEL DEMPSEY

Certified Financial Planner

SAN JUAN, PR

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEMPSEY, EDWARD, MICHAEL

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

07/1999

Mar 8, 2012

Nov 4, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Feb 21, 2020

$76.5M

n/a

2018

Mar 11, 2019

$94.9M

n/a

2017

Mar 23, 2018

$133M

n/a

2016

Mar 31, 2017

$198M

$93.1M

n/a

2015

Mar 30, 2016

$117M

n/a

2014

Apr 3, 2015

$180M

$80.6M

n/a

2013

Mar 19, 2014

$127M

n/a

2012

Mar 11, 2013

$69.0M

n/a

2011

Mar 8, 2012

$57.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$23.5M

$94.9M

-75.2%

$198M

-50.8%