DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Pento Portfolio Strategies, LLC
Latest filing May 1, 2026
First filing on the tape Apr 20, 2021 · 17 filings
SEC status approved since May 20, 2021
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$237M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$237M as of May 1, 2026
Mar 1, 2022$191M then
HNW client RAUM$220M as of May 1, 2026
Mar 1, 2022$177M then
State-registered IARs (5.B.3)2 as of May 1, 2026
Mar 1, 20222 then
Employees (5.A)3 as of May 1, 2026
Mar 1, 20223 then
Private funds: no history
RAUM +13% over the last fiscal year+4.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 437derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $287,363derivedHNW RAUM over HNW clients
- Average account
- $271,466derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assets, subscription, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M93%
- Individuals$17.1M7.2%
- Individual clients
- 108reported
- HNW clients
- 766reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 874reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Gerard Pento | Naples, Fl | Nov 4, 2011 | 32 y | 2 |
| Justine C Coleman | Naples, Fl | Dec 3, 2018 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Bruce Anthony Zaro to International Assets Investment Management, LLCMay 28, 2013 · RIA to affiliated broker-dealer or bank
Joined, latest
- Michael Gerard Pento from A.G.P / Alliance Global PartnersNov 4, 2011 · Other
- Bruce Anthony Zaro from Bolton Global Asset ManagementNov 4, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C Justine Coleman · Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- Gerard Michael Pento · Managing Membercontrolsince 09/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 687 to 874Feb 13, 2025 to Mar 3, 2026
- HNW clients · 577 to 766Feb 13, 2025 to Mar 3, 2026
- Individual clients · 110 to 108Feb 13, 2025 to Mar 3, 2026
- Financial planning clients · to 0Feb 13, 2025 to Mar 3, 2026
- Discretionary RAUM · $210M to $237MFeb 13, 2025 to Mar 3, 2026
- HNW RAUM · $194M to $220MFeb 13, 2025 to Mar 3, 2026
- Individual RAUM · $16.0M to $17.1MFeb 13, 2025 to Mar 3, 2026
- RAUM · $210M to $237MFeb 13, 2025 to Mar 3, 2026
- Accounts · 688 to 687Feb 15, 2024 to Feb 13, 2025
- HNW clients · 571 to 577Feb 15, 2024 to Feb 13, 2025
- Individual clients · 117 to 110Feb 15, 2024 to Feb 13, 2025
- Financial planning clients · unset to Feb 15, 2024 to Feb 13, 2025
- Discretionary RAUM · $199M to $210MFeb 15, 2024 to Feb 13, 2025
- HNW RAUM · $184M to $194MFeb 15, 2024 to Feb 13, 2025
- Individual RAUM · $15.1M to $16.0MFeb 15, 2024 to Feb 13, 2025
- RAUM · $199M to $210MFeb 15, 2024 to Feb 13, 2025
- Individual clients · 105 to 117Nov 15, 2023 to Feb 9, 2024
- Discretionary RAUM · $207M to $199MNov 15, 2023 to Feb 9, 2024
- HNW RAUM · $191M to $184MNov 15, 2023 to Feb 9, 2024
- Individual RAUM · $15.7M to $15.1MNov 15, 2023 to Feb 9, 2024
- RAUM · $207M to $199MNov 15, 2023 to Feb 9, 2024
- Accounts · 611 to 688Nov 15, 2023 to Feb 9, 2024
- HNW clients · 506 to 571Nov 15, 2023 to Feb 9, 2024
- Accounts · 607 to 611Nov 3, 2022 to Feb 14, 2023
- HNW clients · 502 to 506Nov 3, 2022 to Feb 14, 2023
- Discretionary RAUM · $204M to $207MNov 3, 2022 to Feb 14, 2023
- HNW RAUM · $189M to $191MNov 3, 2022 to Feb 14, 2023
- Individual RAUM · $15.4M to $15.7MNov 3, 2022 to Feb 14, 2023
- RAUM · $204M to $207MNov 3, 2022 to Feb 14, 2023
- Accounts · 472 to 607May 19, 2022 to Nov 3, 2022
- HNW clients · 369 to 502May 19, 2022 to Nov 3, 2022
- Individual clients · 103 to 105May 19, 2022 to Nov 3, 2022
- Discretionary RAUM · $202M to $204MMay 19, 2022 to Nov 3, 2022
- HNW RAUM · $188M to $189MMay 19, 2022 to Nov 3, 2022
- Individual RAUM · $14.3M to $15.4MMay 19, 2022 to Nov 3, 2022
- RAUM · $202M to $204MMay 19, 2022 to Nov 3, 2022
- Accounts · 457 to 472Mar 1, 2022 to May 19, 2022
- HNW clients · 355 to 369Mar 1, 2022 to May 19, 2022
- Individual clients · 102 to 103Mar 1, 2022 to May 19, 2022
- HQ city · COLTS NECK to NAPLESMar 1, 2022 to May 19, 2022
Signals
1 dated events
- Pento Portfolio Strategies, Llc filed its initial SEC registration (Form ADV)Apr 20, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@pentoport.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 239-422-5425reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 732-772-9500reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- PENTOPORT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 732-772-9500reportedpublic record, Form ADV, May 1, 2026
- Contact form
- pentoport.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026