Asset manager · Kansas City, MO
Pandi, LLC
SEC-registered investment adviser · CRD 330112 · SEC 801-131022
At a glance
Pandi, LLC is an SEC-registered investment adviser based in Kansas City, Missouri, with $1.4 billion in regulatory assets under management as of its Form ADV filed August 26, 2026. Its largest client group by assets is charitable organizations, and it reports 8 individual clients. By Form ADV it is a asset manager, ranked 1,209th of 3,218 asset managers and 4,487th of 17,210 SEC-registered advisers by assets.
Main office 913-437-9900pandikc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among asset managers
- #1,209 of 3,218
- Rank among all SEC RIAs
- #4,487 of 17,210
- Rank in Missouri
- #53 of 196
- Individual clients
- 8
- High-net-worth clients
- 8
- Accounts
- 115
- Discretionary
- 49% of AUM
- Employees
- 20
- Advisory staff
- 7
- Offices
- 1
Owners and executives on its Form ADV
- Lauren E. HeyenChief Financial Officer
- Matthew G. FergusonChief Executive Officer/chief Investment Officer
- Dante A. RoldanChief Compliance Officer, General Counsel
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Charitable organizations | – | $668M | 49% |
| High-net-worth individuals | 8 | $440M | 32% |
| Corporations or other businesses | 9 | $269M | 20% |
Disciplinary disclosures
Pandi, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗pandikc.com ↗
AtlasMembers
The full record on Pandi, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 958 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pandi, LLC manage?
Pandi, LLC reports $1.4 billion in regulatory assets under management across 115 accounts, 49% of it on a discretionary basis, on its Form ADV filed August 26, 2026.
What kind of firm is Pandi, LLC?
Pandi, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Pandi, LLC’s clients?
By assets, its largest client types are charitable organizations ($668 million); high-net-worth individuals ($440 million, 8 clients); corporations or other businesses ($269 million, 9 clients).
Does Pandi, LLC have any disciplinary history?
Pandi, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Pandi, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →