PELION INVESTMENT ADVISORS, INC.
CRD #138400 SEC #801-66276 NEW YORK, NY 917-639-5450
SEC Registered Disclosures
Total AUM
$7.7M
Discretionary
$0
Employees
1
Clients
0
Accounts
30
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 3, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BELLER, KATHRYN, PAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CEO | NA | Control |
| BERGMAN, HILARY, GUY | I | CEO | NA | Control |
| BERGMAN, HILARY, GUY | I | CEO | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CEO | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGMAN, HILARY, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUNTER, CONSTANCE, LOUISE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| NORDVEDT, DANIEL, GLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NORDVEDT, DANIEL, GLEN | I | COMPLIANCE | NA | Control |
| NORDVEDT, DANIEL, GLEN | I | COMPLIANCE | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| SHAPIRO, ROBERT, IRA | I | PRESIDENT | NA | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
| PELION FINANCIAL GROUP, INC. | DE | OWNER | E | Control |
Registrations
Federal
IA
Oct 3, 2012 REGISTERED
Notice Filings (14)
CA DE FL IN MD ME MO NC NV NY PA SC TX WI
Address
369 LEXINGTON AVENUESUITE 325
NEW YORK, NY 10017
United States
Phone: 917-639-5450