P
Pnl Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
PnL Investments LLC provides discretionary investment management and financial planning and consulting services for a range of clients, including individuals, high‑net‑worth clients, trusts, estates and charitable organizations. The firm charges advisory fees based on assets under management and also offers project-based financial planning engagements and an educational market newsletter.
The firm describes an active, tactical approach that relies on charting, fundamental, technical and cyclical analysis and that emphasizes short‑term purchases and trading as a substantial portion of its activity. Portfolios may use hedging strategies including inverse ETFs and are constructed with a stated position‑level concentration limit (no single equity to exceed 20%) to manage concentration risk.
PnL is a newly formed, state‑registered adviser led by a CFA charterholder with prior roles at large banks and asset managers, and its brochure highlights family office and private-asset-management work alongside charitable and trust relationships. That combination of short‑term, inverse‑ETF strategies and an explicit willingness to serve both private‑client and institutional/organizational relationships (charitable, and potentially corporate or municipal references) is less common among peers in this adviser category.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Concentrated stock management
Fee options
$2,500 to $10,000 based on complexity of financial plan or project
<$999,999 - $999,999: 1.25% annually $1,000,000 - $2,499,999: 1.00% annually $2,500,000 - $4,999,999: 0.75% annually $5,000,000 - $9,999,999: 0.50% annually $10,000,000+: Negotiable
Main office location
Pnl Investments
Dover MA, United States
Number of offices
1
Most active in
Pnl Investments has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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