Pen Facs Financial Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$39,991,331
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
11
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
11
Average account size
$3,635,576
About
PenFacs Financial Services is a registered investment adviser that provides portfolio management to a small, concentrated client base that includes pension and profit‑sharing plans, trusts, estates, corporations, and individual investors. The firm’s disclosures indicate it works with retirement‑plan clients in addition to non‑retail entities.
The adviser employs both fundamental and technical security analysis and implements long‑ and short‑term purchase strategies. Accounts are managed largely on a non‑discretionary basis, with only limited trading authority granted for some accounts and client approval retained for withdrawals.
The firm has an uncommon mix of activities for a solo adviser: it discloses an affiliation with a broker‑dealer/insurance related person and the adviser spends a material portion of time marketing variable annuities and insurance products through that activity. Its asset base is concentrated across a very small number of clients, and the principal also devotes time to outside leadership roles in national and international sports organizations, which is notable relative to peers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Wealth management
Fee options
1% assets under management, billed quarterly
Most active in
Pen Facs Financial Services has reported serving >5 clients in these states in the last 12 months.
Florida · Massachusetts · New Hampshire
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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