Pullen Investment Management

Pullen Investment Management is a small SEC-registered advisory firm that provides discretionary asset management, written financial planning, and retirement-plan consulting to individuals, high-net-worth clients, trusts, estates and plan sponsors. The firm reports roughly $221 million in discretionary assets under management across about 84 client relationships and offers ongoing portfolio oversight, one‑time or as‑needed planning consultations, and retirement plan services.

The firm’s investment process emphasizes fundamental, value-oriented equity research at both the macro and company level, employing long-term equity sleeves (small‑cap, large‑cap value, dividend) alongside fixed‑income and hybrid allocation strategies. Portfolios are managed from model allocations with the flexibility to use tactical and strategic asset-allocation, duration management in fixed income, and adjustments for legacy holdings or special tax situations to tailor outcomes to clients’ objectives.

Compared with many peers, Pullen both publishes performance information (including predecessor results) in its materials and operates a Small Cap strategy with a founder-share arrangement that preserves preferential terms for early participants until the strategy reaches a stated asset threshold—features that are uncommon among similarly sized supported firms. The firm also manages all reported assets on a discretionary basis and discloses detailed practices around soft‑dollar research, Schwab institutional custody relationships, and ERISA-related rollover and fiduciary considerations.