Overview
Our Company
At Pettee Investors, Inc., our core business is managing assets. Based in Rowayton,
Connecticut, Pettee Investors, Inc. is an independent, privately-held Connecticut
corporation that has been an SEC-registered investment adviser since 1989.
Throughout this written disclosure brochure, the company is referred to as “Pettee
Investors”.
The sole owner of Pettee Investors is Sheila Peck Pettee, CFA.
Our Services
Pettee Investors provides clients with the advantages of personal investment
management services on an individual basis. When you are a client of Pettee Investors,
you are working with Sheila Pettee, CFA, Timothy Pettee or Alexander “Alex” Pettee,
CFA of the firm who are responsible for all investment decisions made for accounts.
Pettee Investors will manage advisory accounts on either a discretionary or non-
discretionary basis. Clients will have the opportunity to place reasonable restrictions on
the types of investments which will be made on the client's behalf. For example, if a
client wishes a particular security bought or sold, Pettee Investors may do so. Similarly,
clients can advise Pettee Investors of particular investment restrictions to which the firm
will adhere.
For accounts managed on a discretionary basis, Pettee Investors is allowed to make
transactions in that account without prior
client approval. This allows Pettee Investors to
act quickly as circumstances dictate, though still adhering to clients’ investment
objectives, risk tolerances and account restrictions. For accounts managed on a non-
discretionary basis, Pettee Investors would not purchase or sell securities without the
client’s prior consent.
Pettee Investors remains in close contact with clients in order to be fully aware of their
financial situation, objectives and needs. The more Pettee Investors knows about the
individual circumstances and financial requirements of the client, the better Pettee
Investors can help the client reach their investment objectives.
Pettee Investors also believes that regular contact, in person, by phone, mail or email is
critical to maintaining a strong on-going relationship. Pettee Investors believes that
clients are entitled to know what is being done with their money and why.
Pettee Investors can discuss individual portfolios with clients at any time, since each
portfolio is constantly reviewed. Pettee Investors’ method is to have in mind all portfolios
at all times and to make purchase and sales for each particular client as deemed
prudent.
Our Assets Under Management
As of December 31, 2023, the total amount of client assets managed by Pettee Investors
is approximately $232,326,869, all of which are managed on a discretionary basis.