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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

PEMBERWICK INVESTMENT ADVISORS, LLC

CRD 149639

GREENWICH, CT

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:bbe5f931-fa20-8c26-e6e6-e5686a2185d5

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 24, 2026
18 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $174MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $174M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-70231
CRD: 149639
Filings on the tape: 18
First filed: Mar 30, 2012
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, DE
Website: pemberwickfund.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
HUSSEY, JAMES, P	Ceo	Na	yes	02/2009	Mar 30, 2012	Mar 25, 2024
MURPHY, BERNADETTE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	Feb 14, 2020	Mar 25, 2024
RICHMAN, ELLEN	Member	C	yes	01/2013	Feb 19, 2014	Mar 25, 2024
SALZMAN, DAVID, A	Member	C	yes	02/2009	Mar 30, 2012	Mar 25, 2024
KRISTIN, MILLER, M	Member	A	no	02/2009	Mar 30, 2012	Mar 25, 2024
MYERS, BRIAN, PATRICK	Member	A	no	02/2009	Mar 30, 2012	Mar 25, 2024
RICHMAN, BROOKE, SCHAPPS	Member	B	no	01/2013	Feb 19, 2014	Mar 25, 2024
RICHMAN, RICHARD, PAUL	Manager	B	no	02/2009	Mar 30, 2012	Mar 25, 2024
RICHMAN, SCOTT	Member	B	no	01/2013	Feb 19, 2014	Mar 25, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RICHMAN REAL ESTATE INVESTMENTS INC.	n/a	n/a	n/a	N	yes	n/a

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	Mar 24, 2026	$174M	$174M	2	2	0	n/a	n/a
2024	Mar 11, 2025	$198M	$198M	2	2	0	n/a	n/a
2023	Mar 25, 2024	$232M	$232M	2	2	0	n/a	n/a
2022	Mar 21, 2023	$275M	$275M	2	2	0	n/a	n/a
2021	Mar 17, 2022	$290M	$290M	2	2	0	n/a	n/a
2020	Mar 25, 2021	$290M	$290M	3	2	0	n/a	n/a
2019	Feb 14, 2020	$354M	$354M	5	2	0	n/a	n/a
2018	Jan 31, 2019	$350M	$350M	5	2	0	n/a	n/a
2017	Jan 29, 2018	$208M	$208M	4	1	0	n/a	n/a
2016	Feb 9, 2017	$157M	$157M	4	1	n/a	n/a	n/a
2015	Jan 28, 2016	$151M	$151M	4	1	n/a	n/a	n/a
2014	Mar 4, 2015	$160M	$160M	5	1	n/a	n/a	n/a
2013	Feb 19, 2014	$158M	$158M	5	1	n/a	n/a	n/a
2012	Feb 22, 2013	$124M	$124M	5	1	n/a	n/a	n/a
2011	Mar 30, 2012	$125M	$125M	n/a	n/a	n/a	n/a	n/a

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	$174M	$198M	-12.1%	$275M	-14.2%	2	2	0	0

Relationships

Owns (5)

← RICHMAN, RICHARD, PAULOwnerMANAGER, ownership code B, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← RICHMAN, SCOTTOwnerMEMBER, ownership code B, individual
Feb 19, 2014 to Mar 25, 2024factForm ADV
← RICHMAN, BROOKE, SCHAPPSOwnerMEMBER, ownership code B, individual
Feb 19, 2014 to Mar 25, 2024factForm ADV
← KRISTIN, MILLER, MOwnerMEMBER, ownership code A, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← MYERS, BRIAN, PATRICKOwnerMEMBER, ownership code A, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV

Controls (4)

← SALZMAN, DAVID, AOwnerMEMBER, ownership code C, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← HUSSEY, JAMES, POwnerCEO, ownership code NA, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← RICHMAN, ELLENOwnerMEMBER, ownership code C, individual
Feb 19, 2014 to Mar 25, 2024factForm ADV
← MURPHY, BERNADETTEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 14, 2020 to Mar 25, 2024factForm ADV

Dated events

Occurred
Feb 14, 2020
Control person joined
Bernadette Murphy (Chief Compliance Officer) appeared on Schedule A of Pemberwick Investment Advisors, Llc
Form ADVobserved 4 days ago
Occurred
Jan 31, 2019
Regulatory AUM changed
Pemberwick Investment Advisors, Llc reported RAUM $350.3M, up 68% from $208.3M (2018-03-15 to 2019-01-31)
Form ADVobserved 4 days ago
$142M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbe5f931-fa20-8c26-e6e6-e5686a2185d5
First observed: Mar 30, 2012
Last observed: Mar 24, 2026 5 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.

PEMBERWICK INVESTMENT ADVISORS, LLC

CRD 149639

GREENWICH, CT

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:bbe5f931-fa20-8c26-e6e6-e5686a2185d5

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HUSSEY, JAMES, P

Ceo

yes

02/2009

Mar 30, 2012

Mar 25, 2024

MURPHY, BERNADETTE

CHIEF COMPLIANCE OFFICER

yes

01/2020

Feb 14, 2020

Mar 25, 2024

RICHMAN, ELLEN

Member

yes

01/2013

Feb 19, 2014

Mar 25, 2024

SALZMAN, DAVID, A

Member

yes

02/2009

Mar 30, 2012

Mar 25, 2024

KRISTIN, MILLER, M

Member

02/2009

Mar 30, 2012

Mar 25, 2024

MYERS, BRIAN, PATRICK

Member

02/2009

Mar 30, 2012

Mar 25, 2024

RICHMAN, BROOKE, SCHAPPS

Member

01/2013

Feb 19, 2014

Mar 25, 2024

RICHMAN, RICHARD, PAUL

Manager

02/2009

Mar 30, 2012

Mar 25, 2024

RICHMAN, SCOTT

Member

01/2013

Feb 19, 2014

Mar 25, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RICHMAN REAL ESTATE INVESTMENTS INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$174M

n/a

2024

Mar 11, 2025

$198M

n/a

2023

Mar 25, 2024

$232M

n/a

2022

Mar 21, 2023

$275M

n/a

2021

Mar 17, 2022

$290M

n/a

2020

Mar 25, 2021

$290M

n/a

2019

Feb 14, 2020

$354M

n/a

2018

Jan 31, 2019

$350M

n/a

2017

Jan 29, 2018

$208M

n/a

2016

Feb 9, 2017

$157M

n/a

2015

Jan 28, 2016

$151M

n/a

2014

Mar 4, 2015

$160M

n/a

2013

Feb 19, 2014

$158M

n/a

2012

Feb 22, 2013

$124M

n/a

2011

Mar 30, 2012

$125M

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

$174M

$198M

-12.1%

$275M

-14.2%