KARPUS INVESTMENT MANAGEMENT
SEC RegisteredHelping you build wealth for the future
About the firm
Karpus Investment Management (KIM) is a Registered Investment Adviser that emphasizes conservative, long-term investment management with the goal of preserving capital to help clients build wealth over time. KIM provides Investment Advisory Services and Foundation Services, with each portfolio individually managed according to client investment goals and risk tolerance.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment Advisory Services and Foundation Services, including individually managed portfolios across strategies such as Tax-Sensitive Fixed Income, Conservative Balanced, Growth Balanced, Fixed Income, Equity Management, and Cash Management.
Who they serve
Individuals and families, as well as institutional asset management clients, including high net worth individuals.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 964 | $418M |
| High Net Worth Individuals | 689 | $2.4B |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 47 | $508M |
| State/Municipal Entities | 44 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 1 | — |
| Corporations | 0 | $0 |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
7 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Fixed Income - First $1,000,000 | 1.25% |
| Fixed Income - Next $1,000,000 | 1.15% |
| Fixed Income - Next $3,000,000 | 1.10% |
| Fixed Income - Next $5,000,000 | 0.90% |
| Fixed Income - Next $15,000,000 | 0.80% |
| Fixed Income - Over $25,000,000 | 0.70% |
| Balanced/Equity Management - First $1,000,000 | 1.50% |
| Balanced/Equity Management - Next $1,000,000 | 1.30% |
| Balanced/Equity Management - Next $3,000,000 | 1.20% |
| Balanced/Equity Management - Next $5,000,000 | 1.10% |
| Balanced/Equity Management - Next $15,000,000 | 1.00% |
| Balanced/Equity Management - Over $25,000,000 | 0.90% |
Data as of October 20, 2025 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. KARPUS INVESTMENT MANAGEMENT has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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