Pelion Investment Advisors, Inc.
- Regulatory AUM
- $61.6M
- Discretionary
- $54.5M
- Clients
- 43
- Avg AUM / client
- $1.4M
- Accounts
- 43
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 12 | $2.4M | 3.9% |
| High net worth individuals | 29 | $58.1M | 94.3% |
| Pension and profit sharing plans | 1 | $665K | 1.08% |
| Charitable organizations | 1 | $416K | 0.68% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Hilary Guy Bergman | Chief Compliance Officer | Jun 2007 (19y) | Less than 5% | |
| Shapiro, Robert, Ira | President | Jun 2008 (18y) | Less than 5% | |
| Thomas James Carstens | Registered representative | Chartered Financial Consultant | Dec 2021 (5y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pelion Financial Group, Inc. | Owner | May 2005 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • REFERRAL FEES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 29, 2026.
View current Form ADV (SEC/IAPD) ↗