Penta Capital Strategies LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$22,696
Clients
4
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
4
Very LowAverage account size
$5,674
About
Penta Capital Strategies LLC is a New Jersey‑registered investment adviser that provides discretionary portfolio management and related advisory services to individuals, high‑net‑worth clients, family offices, and corporate or business entities. The firm prepares an investment policy statement for each client and offers ongoing managed account services covering investment strategy, asset allocation, asset selection, and regular portfolio monitoring.
The adviser combines strategic asset allocation with tactical market timing and a global‑macro overlay, using both fundamental and technical analysis and a proprietary market‑classification algorithm to guide positioning. Portfolios are constructed primarily with stocks, bonds and exchange‑traded funds, and the firm emphasizes diversification and risk management while permitting tactics such as short sales and leverage when appropriate.
Noteworthy aspects include that the firm’s principal personally reviews client accounts at least monthly and manages client assets directly rather than selecting third‑party managers. Penta also uses performance‑based fee arrangements — including a strategy offered on a performance‑only basis — and accepts corporate and family‑office clients, which is less common among independent advisers of this type.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Active portfolio management
Passive / index investing
Fee options
All assets+: Strategy 1: 1% - 3% AUM All assets+: Strategy 2: 1.5% - 4.5% AUM All assets+: Strategy 3: 2.0% - 6.5% AUM All assets+: Strategy 4: Only Performance Based Fees
Performance fees vary by strategy with thresholds; e.g., Strategy 1: 10%-20% of profit above 1% annual threshold, Strategy 2: 15%-25% above 2%, Strategy 3: 20%-35% above 3%, Strategy 4: 25%-40% above 4%.
Account minimum: $5,000
Main office location
Penta Capital Strategies LLC
Livingston NJ, United States
Number of offices
1
Most active in
Penta Capital Strategies LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey
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
Quick links
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