Advisor at Peachcap Tax & Advisory, LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Peachcap Tax & Advisory, LLC
Location
Langley, WA
Credentials
Series 63, Series 66
Industry experience
38 years
Tom Puentes is a financial advisor with PeachCap Tax & Advisory, LLC, holding Series 63 and Series 66 licenses and bringing 37 years of industry experience. He has been with PeachCap since 2018 and previously worked at Kestra Private Wealth Services. Puentes serves on the boards of the Pacific Northwest Ballet and Seattle Opera. PeachCap Tax & Advisory, LLC provides investment advisory and financial planning services to individuals, retirement plans, trusts, estates, foundations, and business entities. The firm offers tailored portfolio management using a variety of strategies and asset-allocation models, as well as financial planning and aggregation services for held-away retirement accounts.
Based on Peachcap Tax & Advisory, LLC
Based on Peachcap Tax & Advisory, LLC
Fixed fees up to $10,000 for broad-based financial planning services; may exceed $10,000 in limited circumstances with client notification.
$0 - $500,000: 2.20% annually $500,001 - $1,000,000: 1.70% annually $1,000,001 - $5,000,000: 1.45% annually $5,000,001+: Negotiable
Commission-based compensation for sale of securities and insurance products by some associated persons, separate from advisory fees.
Up to $300 per hour for specific financial planning services or consulting.
Langley, WA
Washington
PeachCap Tax & Advisory, LLC
2018 - Present (8 years)
PeachCap Securities, Inc.
2018 - Present (8 years)
Unemployed
2018 - 2018 (1 year)
Kestra Private Wealth Services, LLC
2014 - 2018 (4 years)
Kestra Investment Services, LLc
2014 - 2018 (4 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 66
Everett, WA
Elderrock Financial LLC
Series 66
Everett, WA
Focus Advisory, LLC
Series 63, Series 65
Marysville, WA
Anchor Capital Management LLC
CFP®, Series 65
Arlington, WA
Wyatt Wealth Management
CFP®, CFA®, Series 63, Series 65
Everett, WA
Viceroy Investment Advisors LLC
CFP®, Series 65
Langley, WA
Quantum Financial Planning LLC
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