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
Pullen Investment Management
Legal name Pullen Investment Management, LLC
Latest filing Feb 16, 2026
First filing on the tape Feb 22, 2023 · 9 filings
SEC status approved since Mar 23, 2023
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$138M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$221M as of Feb 16, 2026
Mar 5, 2024$141M then
HNW client RAUM$125M as of Feb 16, 2026
Mar 5, 2024$93.6M then
State-registered IARs (5.B.3)2 as of Feb 16, 2026
Mar 5, 20242 then
Employees (5.A)5 as of Feb 16, 2026
Mar 5, 20244 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2offices 2 to 0
Practice profile
derived from the filing of Feb 16, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $956,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M57%
- Pension and profit-sharing plans$66.1M30%
- Individuals$12.7M5.7%
- Charitable organizations$12.4M5.6%
- Corporations and businesses$4.5M2.0%
- Individual clients
- 37reported
- HNW clients
- 47reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 231reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.36 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 |
|---|---|---|---|---|
| Tyler James PullenChartered Financial Analyst | Bradenton, Fl | Aug 12, 2020 | 16 y | 5 |
| Allen Jones Butler | Bradenton, Fl | Jan 31, 2023 | 16 y | 3 |
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
none on the tape
Joined, latest
- Allen Jones Butler from Butler Investment ManagementJan 31, 2023 · Other
- Tyler James Pullen from National Investment Services Of America, LLCAug 12, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Tyler Pullen · Managing Member And Chief Compliance Officercontrolsince 08/2020 · 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 |
|---|---|---|---|---|---|
| Bradenton, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bradenton, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 200 to 231Mar 6, 2025 to Feb 16, 2026
- Advisory employees · 2 to 4Mar 6, 2025 to Feb 16, 2026
- HNW clients · 41 to 47Mar 6, 2025 to Feb 16, 2026
- Individual clients · 41 to 37Mar 6, 2025 to Feb 16, 2026
- Pension plan clients · 5 to 6Mar 6, 2025 to Feb 16, 2026
- Employees · 4 to 5Mar 6, 2025 to Feb 16, 2026
- Other offices · 2 to 0Mar 6, 2025 to Feb 16, 2026
- Discretionary RAUM · $184M to $221MMar 6, 2025 to Feb 16, 2026
- HNW RAUM · $106M to $125MMar 6, 2025 to Feb 16, 2026
- Individual RAUM · $15.6M to $12.7MMar 6, 2025 to Feb 16, 2026
- Pension RAUM · $48.2M to $66.1MMar 6, 2025 to Feb 16, 2026
- RAUM · $184M to $221MMar 6, 2025 to Feb 16, 2026
- Accounts · 166 to 200Mar 5, 2024 to Mar 6, 2025
- Advisory employees · 3 to 2Mar 5, 2024 to Mar 6, 2025
- Corporate clients · 5.0 to unsetMar 5, 2024 to Mar 6, 2025
- HNW clients · 33 to 41Mar 5, 2024 to Mar 6, 2025
- Pension plan clients · unset to 5.0Mar 5, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2024 to Mar 6, 2025
- Discretionary RAUM · $141M to $184MMar 5, 2024 to Mar 6, 2025
- HNW RAUM · $93.6M to $106MMar 5, 2024 to Mar 6, 2025
- Individual RAUM · $14.8M to $15.6MMar 5, 2024 to Mar 6, 2025
- Pension RAUM · $21.8M to $48.2MMar 5, 2024 to Mar 6, 2025
- RAUM · $141M to $184MMar 5, 2024 to Mar 6, 2025
- Accounts · 147 to 166Sep 1, 2023 to Mar 5, 2024
- Corporate clients · 0 to 5Sep 1, 2023 to Mar 5, 2024
- HNW clients · 30 to 33Sep 1, 2023 to Mar 5, 2024
- Individual clients · 42 to 41Sep 1, 2023 to Mar 5, 2024
- Employees · 3 to 4Sep 1, 2023 to Mar 5, 2024
- Discretionary RAUM · $132M to $141MSep 1, 2023 to Mar 5, 2024
- HNW RAUM · $87.2M to $93.6MSep 1, 2023 to Mar 5, 2024
- Individual RAUM · $15.0M to $14.8MSep 1, 2023 to Mar 5, 2024
- Pension RAUM · $20.2M to $21.8MSep 1, 2023 to Mar 5, 2024
- RAUM · $132M to $141MSep 1, 2023 to Mar 5, 2024
- Advisory employees · 2 to 3Aug 15, 2023 to Sep 1, 2023
- Employees · 2 to 3Aug 15, 2023 to Sep 1, 2023
- Legal name · PULLEN INVESTMENT MANAGEMENT to PULLEN INVESTMENT MANAGEMENT, LLCAug 15, 2023 to Sep 1, 2023
- Other offices · 1 to 2Jun 28, 2023 to Aug 15, 2023
- Assets in custody · 131743471.0 to unsetMar 27, 2023 to Jun 28, 2023
- Custody of client assets · true to falseMar 27, 2023 to Jun 28, 2023
Signals
1 dated events
- Pullen Investment Management filed its initial SEC registration (Form ADV)Feb 22, 2023 · 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 phone
- 941-361-2195reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pullen-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pulleninvestment.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 941-361-2195reportedpublic record, Form ADV, Feb 16, 2026
- Team page
- pulleninvestment.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026