Pentegra Investors, Inc. (White Plains)

Name: Pentegra Investors, Inc.
Address: 701 Westchester Avenue, White Plains, NY, 10604 3805
Telephone: (914) 694-1300

Pentegra Investors, Inc. is a large advisory firm based in White Plains. It manages $6.14 billion of regulatory assets for 476 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Connecticut, New Jersey, and New York.

Pentegra Investors provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and comprehensive advice to third party internal investment committees. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pentegra Investors: assets under management

The assets under management (AUM) of Pentegra Investors, Inc. is $6.14 billion. The firm's AUM has grown by 1370% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.86 billion in discretionary accounts and $2.29 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $16.41 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $9.5 million.

Investments

The firm invests in pooled investment vehicles the most. They account for 54% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 17% of the firm’s portfolio. Investments in other assets form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pentegra Investors, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John E Pinto serves?

The firm provides services to pooled investment vehicles and pension and profit sharing plans. The largest group of clients of John E Pinto is pension and profit sharing plans with 475 clients and $6.14 billion of assets under management. Among the 9 most similar advisory firms, Pentegra Investors has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $6.14 billion for 476 clients. None of the firm’s clients are foreign persons or businesses.

Pentegra Investors doesn't advise any private funds.

Careers at Pentegra Investors, Inc.

The company employs 16 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John E Pinto has been acting as President since 1 Jul 2013. Lars Gerhard Ernst joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Paul Pollak	Director, executive vice president,counsel, secretary & chief compliance officer	1 Jul 1989	Other	2045964
Veronica Antoinette Fisher	Vice president and treasurer	1 Feb 1994	Other	2635991
Michael Randazzo	Chief investment strategist	1 Aug 2004	Other	2802758
Pentegra Services Inc	Parent	1 Aug 2008	75% - 100%	13-3745616
Robert D Alin	Director, secretary and counsel	1 Aug 2008	Other	5627987
Inc. Pentegra Services	Parent	1 Aug 2008	75% - 100%	13-3745616
Robert C Albanese	President and director	1 Aug 2008	Other	5627985
Scott Mitchell Stone	President, chief investment officer	1 Jun 2011	Other	4552527
Charles S Sorrentino	Chief financial officer	1 Aug 2012	Other	6473113
John E Pinto	Director	1 Jul 2013	Other	6265669
Frederic Paul Slade	Director of investments	1 Mar 2014	Other	3006100
Sarah Coxe Lange	Chief compliance officer	1 Apr 2014	Other	4333316
Lars Gerhard Ernst	Chief compliance officer	1 Dec 2015	Other	5197938

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Pentegra Defined Benefit Plan For Financial Institutions	Shareholder	1 Aug 2008	75% - 100%	13-5645888

Based in White Plains

The principal office where Pentegra Investors, Inc. performs its advisory services is located at 701 Westchester Avenue, White Plains, NY 10604 3805, which is also the mailing address of the firm. An additional office of the firm is in Shelton, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (914) 694-1300 or by fax (914) 694-9384. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at pentegra.com.