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CRD 111503
SHELTON, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| CHRISTOPHER JONATHAN LAMARCA | n/a | SHELTON, CT | 9 | 29 | 1 | yes |
| MAEGEN EMILY CHAUDRY | n/a | SHELTON, CT | 9 | 17 | 3 | yes |
| Pedro Jovanny Frias | n/a | SHELTON, CT | 4 | 18 | n/a | no |
| STEPHEN A HUGHES | n/a | SHELTON, CT | 1 | 33 | n/a | yes |
| REGINA ANGELA MONTRONY | n/a | SHELTON, CT | 1 | 23 | n/a | yes |
| MAUREEN ELLEN HAMBLIN | n/a | SHELTON, CT | 0 | 28 | n/a | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PENTEGRA RETIREMENT TRUST | Other Private Fund | $287M | Mar 28, 2023 | 8 | Mar 26, 2021 | reported | 021-212409 |
| PENTEGRA CO-INVEST 2017-1 LLC | Other Private Fund | $4.2M | Mar 27, 2024 | 3 | Mar 26, 2021 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ERNST, LARS, GERHARD | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2015 | Dec 16, 2015 | Mar 27, 2024 |
| FINNEGAN, KEVIN, O | SVP, GENERAL COUNSEL | Na | yes | 03/2023 | Mar 28, 2023 | Mar 27, 2024 |
| PENTEGRA DEFINED BENEFIT PLAN FOR FINANCIAL INSTITUTIONS | Shareholder | E | yes | 08/2008 | Mar 30, 2012 | Mar 27, 2024 |
| PENTEGRA SERVICES, INC. | Parent | E | yes | 08/2008 | Mar 29, 2016 | Mar 27, 2024 |
| SORRENTINO, CHARLES, S | CHIEF FINANCIAL OFFICER | Na | yes | 08/2012 | Mar 31, 2015 | Mar 27, 2024 |
| STONE, SCOTT, MITCHELL | PRESIDENT, CHIEF INVESTMENT OFFICER | Na | yes | 06/2011 | Mar 31, 2015 | Mar 27, 2024 |
| WIETSMA, ERIC, HANS | Director | Na | yes | 07/2023 | Mar 27, 2024 | Mar 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PENTEGRA DISTRIBUTORS INC. | n/a | n/a | n/a | N | yes | n/a |
| PENTEGRA INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| PENTEGRA SERVICES, INC. | n/a | n/a | n/a | Y | no | n/a |
| PENTEGRA TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Shelton | Ct | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 | $5.6B | $3.3B | 13 | 5 | 1 | 1 | n/a |
| 2024 | Mar 25, 2025 | $5.5B | $3.2B | 16 | 5 | 1 | 1 | n/a |
| 2023 | Mar 27, 2024 | $5.9B | $3.7B | 14 | 7 | 1 | 1 | $4.2M |
| 2022 | Mar 28, 2023 | $6.2B | $3.9B | 13 | 7 | 1 | 2 | $290M |
| 2021 | Mar 30, 2022 | $7.5B | $4.7B | 15 | 8 | 1 | 2 | $356M |
| 2020 | Mar 26, 2021 | $7.2B | $4.5B | 16 | 9 | 1 | 2 | $364M |
| 2019 | Mar 30, 2020 | $6.8B | $4.1B | 16 | 9 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $6.1B | $3.9B | 16 | 9 | 2 | n/a | n/a |
| 2017 | Mar 26, 2018 | $6.5B | $4.0B | 18 | 10 | 2 | n/a | n/a |
| 2016 | Mar 31, 2017 | $10B | $6.6B | 17 | 13 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $7.4B | $6.1B | 18 | 16 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $7.3B | $5.8B | 17 | 17 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $499M | $499M | 11 | 6 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $438M | $437M | 8 | 3 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $372M | $372M | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.6B | $5.5B | 1.7% | $6.2B | -3.5% | 13 | 16 | 0 | 1 |