SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Peterson Financial Services LLC
Denver, CO
CRD 106127
Firm filing updated February 6, 2026 ·
- $124MAssets
- 162Clients
- 1Advisory staff
- 162Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals131
- High net worth individuals26
- Pension and profit sharing plans4
- Charities1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 131 | $36.5 million |
| High net worth individuals | 26 | $82.7 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 4 | $4.9 million |
| Charitable organizations | 1 | Under $1K (as filed) |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
See all 4 services
- Publication of periodicals or newsletters
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Publication of periodicals or newsletters
Assets and accounts
- Regulatory assets$124.0 million
- Accounts162
- Discretionary$123.8 million · 158 accounts
- Non-discretionary$215,242 · 4 accounts
People
- Employees2
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents1
- Planning clients1 to 10
Registration details
- SEC-registered investment advisor. CRD 106127, SEC file 801-123636.
- Registered with the SEC as an investment advisor (status date on record: April 7, 2022).
Is Peterson Financial Services LLC a fiduciary?
Short answer: Peterson Financial Services LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.