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.
Trek Financial
Scottsdale, AZ
Trek Financial, LLC, CRD 109376
Firm filing updated July 10, 2026 ·
- $2.8BAssets
- 4,688Clients
- 55Advisory staff
- 10,768Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals3,869
- High net worth individuals670
- Pension and profit sharing plans114
- Corporations or other businesses24
- Charities11
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 3,869 | $932.1 million |
| High net worth individuals | 670 | $1.5 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 114 | $196.4 million |
| Charitable organizations | 11 | $80.1 million |
| Corporations or other businesses not listed above | 24 | $106.8 million |
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 6 services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Other: "CONSULTING"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Other: "CONSULTING"
Assets and accounts
- Regulatory assets$2.8 billion
- Accounts10,768
- DiscretionaryAll accounts
People
- Employees55
- Advisory staff55
- Broker-dealer reps0
- Licensed insurance agents48
- Planning clients101 to 250
Advisors
43 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Trek Financial, LLC SEC-registered investment advisor. CRD 109376, SEC file 801-58087.
- Registered with the SEC as an investment advisor (status date on record: November 15, 2000).
Is Trek Financial a fiduciary?
Short answer: Trek Financial 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.'
48 staff are licensed insurance agents and the firm has a related insurance company or agency.
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.