Pnl Investments
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
PnL Investments LLC is a state-registered independent investment adviser managing about $1.5 million in discretionary assets for seven clients. The firm provides discretionary portfolio management alongside financial planning and consulting services, and it distributes an educational newsletter to clients.
The firm’s investment approach is actively managed and tactical: the brochure states short‑term trading represents the substantial majority of its investment activity and model portfolios can include equity securities, exchange‑traded funds (including tactical use of inverse ETFs), with analysis methods that include charting, technical, fundamental and cyclical techniques. Portfolios are constructed with a stated concentration-control (no single equity exceeding 20% of an account) and may employ hedging strategies, recognizing the higher volatility and reset characteristics of inverse ETFs.
What is distinctive is the range of services and client types described relative to the firm’s small, solo-advisor size—Item 7 explicitly lists trusts, estates and charitable organizations and the financial planning section references family‑office and private asset management services, while the privacy/disclosure language contemplates corporate and municipal/institutional client identifications. The brochure also notes the firm’s principal holds the CFA charter and has prior institutional experience in ETF accounting, portfolio analysis and corporate credit roles, and the firm routes custody and execution through a major custodian.
Client services
Expertise
Fee options
$2,500 to $10,000 for Financial Planning and Consulting Services, based on complexity
$0 - $999,999: 1.25% $1,000,000 - $2,499,999: 1.00% $2,500,000 - $4,999,999: 0.75% $5,000,000 - $9,999,999: 0.50% $10,000,000+: Negotiable
Main office
Dover MA
Advisors at this office
1
Most active in
Massachusetts
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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