Prudent Man Investment Management Inc
- Regulatory AUM
- $390M
- Discretionary
- $376M
- Clients
- 246
- Avg AUM / client
- $1.6M
- Accounts
- 762
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 137 | $64.9M | 16.6% |
| High net worth individuals | 106 | $311M | 79.7% |
| Pension and profit sharing plans | 3 | $14.3M | 3.68% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Frontier Airlines, Inc. 401(k) Retirement Plan Frontier Airlines, Inc. | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Keith Jeffrey Diamond | Executive Vice President And Chief Compliance Officer | Mar 2005 (21y) | Less than 5% | |
| Christopher Patrick Reading | President, Sr. Portfolio Manager | Feb 2008 (19y) | 75% or more | |
| Carol Renee Johnson | Registered representative | CFP | Jan 2020 (7y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Frontier Airlines, Inc. 401(k) Retirement Plan | Frontier Airlines, Inc. | 7,716 | $962M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 867 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $390M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗