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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

POLLOCK INVESTMENT ADVISORS, LLC

CRD 153350

ANN ARBOR, MI

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:227311b8-ece4-1b40-92f6-1af129706187

Data as of Jan 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Mar 29, 2012 to Jan 20, 2026
17 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: $335MItem 5.F on the latest filing (2026-01-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $328M
Private client RAUM: $328MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 759
Individual clients: 124
High net worth clients: 118
SEC number: 801-71361
CIK: 2049804
CRD: 153350
Filings on the tape: 17
First filed: Mar 29, 2012
Latest filed: Jan 20, 2026
Organised: Limited Liability Company, MI
Website: pollockinvestmentadvisors.com

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
POLLOCK, JAMES, KERR	CHIEF COMPLIANCE OFFICER	D	yes	06/2010	Mar 29, 2012	Mar 18, 2024
POLLOCK, ROBERT, NEWTON	MANAGING MEMBER	D	yes	06/2010	Mar 29, 2012	Mar 18, 2024

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
2025	Jan 20, 2026	$335M	$328M	6	3	0	n/a	n/a
2024	Mar 27, 2025	$322M	$316M	6	3	0	n/a	n/a
2023	Mar 18, 2024	$290M	$285M	6	3	0	n/a	n/a
2022	Mar 22, 2023	$269M	$265M	6	3	0	n/a	n/a
2021	Mar 30, 2022	$293M	$290M	6	3	0	n/a	n/a
2020	Mar 25, 2021	$246M	$245M	6	3	0	n/a	n/a
2019	Mar 24, 2020	$219M	$217M	6	3	0	n/a	n/a
2018	Mar 27, 2019	$187M	$187M	6	3	1	n/a	n/a
2017	Mar 29, 2018	$205M	$205M	6	3	1	n/a	n/a
2016	Mar 21, 2017	$182M	$182M	6	3	n/a	n/a	n/a
2015	Mar 21, 2016	$159M	$159M	5	3	n/a	n/a	n/a
2014	Mar 30, 2015	$152M	$152M	5	3	n/a	n/a	n/a
2013	Mar 31, 2014	$137M	$137M	5	3	n/a	n/a	n/a
2012	Apr 1, 2013	$114M	$114M	4	2	n/a	n/a	n/a
2011	Mar 29, 2012	$145M	$145M	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	3	-3	n/a	0	0	0	0	3

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
2025	$335M	$322M	4.1%	$269M	7.7%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
DIVERSIFIED, LLC	3	Feb 26, 2026	Feb 2, 2026	ANN ARBOR, MI	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (3)

← ROBERT NEWTON POLLOCKAdvisorregistration: previous registration
Jul 23, 2010 to Feb 26, 2026factForm ADV
← JAMES KERR POLLOCKAdvisorregistration: previous registration
Jul 23, 2010 to Feb 26, 2026factForm ADV
← NICKLAUS MICHAEL AREDDYAdvisorregistration: previous registration
Aug 8, 2013 to Feb 26, 2026factForm ADV

Moved with (1)

→ DIVERSIFIED, LLCRegistered adviser3 advisors, firm absorbed, same day
Feb 26, 2026 to Feb 2, 2026factForm ADV

Controls (2)

← POLLOCK, ROBERT, NEWTONOwnerMANAGING MEMBER, ownership code D, individual
Mar 29, 2012 to Mar 18, 2024factForm ADV
← POLLOCK, JAMES, KERROwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 29, 2012 to Mar 18, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 26, 2026
Firm absorbed
Pollock Investment Advisors, LLC's advisors moved to Diversified, LLC (Ann Arbor, MI): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Feb 26, 2026
Advisor changed firm
Nicklaus Michael Areddy left Pollock Investment Advisors, Llc for Diversified, Llc (registered 2026-02-02)
Form ADVobserved 4 days ago
Occurred
Feb 26, 2026
Advisor changed firm
James Kerr Pollock left Pollock Investment Advisors, Llc for Diversified, Llc (registered 2026-02-02)
Form ADVobserved 4 days ago
Occurred
Feb 26, 2026
Advisor changed firm
Robert Newton Pollock left Pollock Investment Advisors, Llc for Diversified, Llc (registered 2026-02-02)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 2, 2026
Pollock Investment Advisors, Llc no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $335.5M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:227311b8-ece4-1b40-92f6-1af129706187
First observed: Mar 29, 2012
Last observed: Jan 20, 2026 8 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.

POLLOCK INVESTMENT ADVISORS, LLC

CRD 153350

ANN ARBOR, MI

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:227311b8-ece4-1b40-92f6-1af129706187

Data as of Jan 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

POLLOCK, JAMES, KERR

CHIEF COMPLIANCE OFFICER

yes

06/2010

Mar 29, 2012

Mar 18, 2024

POLLOCK, ROBERT, NEWTON

MANAGING MEMBER

yes

06/2010

Mar 29, 2012

Mar 18, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 20, 2026

$335M

$328M

n/a

2024

Mar 27, 2025

$322M

$316M

n/a

2023

Mar 18, 2024

$290M

$285M

n/a

2022

Mar 22, 2023

$269M

$265M

n/a

2021

Mar 30, 2022

$293M

$290M

n/a

2020

Mar 25, 2021

$246M

$245M

n/a

2019

Mar 24, 2020

$219M

$217M

n/a

2018

Mar 27, 2019

$187M

n/a

2017

Mar 29, 2018

$205M

n/a

2016

Mar 21, 2017

$182M

n/a

2015

Mar 21, 2016

$159M

n/a

2014

Mar 30, 2015

$152M

n/a

2013

Mar 31, 2014

$137M

n/a

2012

Apr 1, 2013

$114M

n/a

2011

Mar 29, 2012

$145M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-3

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$335M

$322M

4.1%

$269M

7.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DIVERSIFIED, LLC

Feb 26, 2026

Feb 2, 2026

ANN ARBOR, MI

Firm absorbed

RIA to RIA

100.0%