Pine Haven Investment Counsel, Inc. (Fairhaven)

Name: Pine Haven Investment Counsel, Inc.
Address: 113 Laurel Street, Fairhaven, MA, 02719
Telephone: 508-993-0336

Pine Haven Investment Counsel, Inc. is a large advisory firm based in Fairhaven. It manages $154.46 million of regulatory assets for 463 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, Colorado, Massachusetts, and 3 other states.

Pine Haven Investment Counsel provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pine Haven Investment Counsel: assets under management

The assets under management (AUM) of Pine Haven Investment Counsel, Inc. is $154.46 million. The firm's AUM has grown by 184% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $150.54 million in discretionary accounts and $3.91 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $346.87 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $134.9 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is investment and business development companies, which make up 24% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pine Haven Investment Counsel, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Paige Johnson Roth serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Paige Johnson Roth is high net worth individuals with 52 clients and $129.73 million of assets under management. Among the 12 most similar advisory firms, Pine Haven Investment Counsel has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $154.46 million for 139 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Pine Haven Investment Counsel doesn't advise any private funds.

Careers at Pine Haven Investment Counsel, Inc.

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Paige Johnson Roth has been acting as President since 1 Sep 1999. Kori Linn Allen joined the executive team most recently as the Chief Compliance Officer / Principal.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Paige Johnson Roth	President	1 Sep 1999	75% - 100%	2428098
Kori Linn Allen	Chief compliance officer / principal	1 Jul 2009	Other	1845744

Based in Fairhaven

The principal office where Pine Haven Investment Counsel, Inc. performs its advisory services is located at 113 Laurel Street, Fairhaven, MA 02719 The mailing address of the firm is P.O. Box 758, Fairhaven, MA 02719. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 508-993-0336 or by fax 888-764-6760. The normal business hours are 9-3 on Monday - Friday. You can find more information about the New York firm at pinehaveninv.com.