Plumb Balanced Fund
PLBBX
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- Plumb Balanced Fund (PLBBX) is an open-end mutual fund that seeks high total return through capital appreciation while attempting to preserve principal, secondarily providing current income through a diversified portfolio of common stocks and fixed income securities; it normally invests more than 50% of assets in equities including large-, mid-, and small-cap growth and value stocks, and at least 25% in fixed income senior securities such as U.S. government obligations and corporate bonds. The fund offers Investor Shares (PLBBX, CUSIP 976586107), Institutional Shares (PLIBX, CUSIP 976586305), and A Shares (PLABX, CUSIP 976586503), with net expense ratios of 1.44%, 1.19%, and 1.44% respectively as of recent filings; minimum initial investments are $2,500 for Investor Shares ($1,000 for IRAs), available primarily to U.S. investors. Managed by Thomas G. Plumb since inception and Nathan Plumb since July 2023, the fund follows the Wisconsin Capital Management tradition, targeting innovative companies with recurring revenue potential across sectors like technology, financial services, and healthcare, with top holdings including NVIDIA Corp., Alphabet Inc., Visa Inc., Amazon.com Inc., and First American Government Obligations. Founded on May 24, 2007, and headquartered at 8020 Excelsior Drive, Suite 402, Madison, Wisconsin 53717, the fund operates under Plumb Funds (CIK 0001395397), with total net assets of approximately $66.6 million as of September 30, 2025. Geographically, the portfolio emphasizes U.S. stocks (57%) and bonds (29%), with smaller allocations to non-U.S. stocks (6.5%, including Latin America, Europe ex-Euro, and developed Asia) and cash (3.4%), targeting individual and institutional investors seeking moderate allocation exposure. In recent developments, the fund maintained strong Morningstar ratings as of September 30, 2025, earning 3 stars overall (among 466 Allocation--50% to 70% Equity Funds), with 5 stars for 3-year, 1 star for 5-year, and 3 stars for 10-year periods based on risk-adjusted returns; it also featured updated portfolio commentary emphasizing secular themes like payment digitization and healthcare innovations. The investment advisor contractually agreed to waive fees through July 31, 2026, supporting net expense ratios, while share classes including Institutional and A Shares were launched in August 2020 and February 2021 respectively to broaden investor access. No major acquisitions, partnerships, or funding rounds were reported for the fund in the last 1-2 years, with focus remaining on adaptive equity-bond allocation amid market volatility.