Penfield Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,870,000
Clients
55
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
55
HighAverage account size
$88,545
About
Penfield Investments LLC provides ongoing asset management and financial planning to individual and high‑net‑worth clients (55 relationships, approximately $4.87 million in reported AUM as of 12/31/2025). The firm offers direct asset management and works with clients to review and rebalance held‑away retirement plan accounts via a third‑party aggregation platform; it also offers insurance products through an affiliated insurance practice.
The firm’s advisory agreement permits both discretionary and non‑discretionary authority, but its reported assets are managed on a non‑discretionary basis (discretionary: $0; non‑discretionary: $4,870,000). Investment work uses fundamental, technical and charting analysis, and for non‑discretionary accounts the adviser proposes transactions that require client approval; held‑away accounts are reviewed at least quarterly for potential rebalancing.
Notable departures from many small independent advisers include a significant non‑U.S. client base, an affiliated insurance business that the principal devotes roughly 5% of his time to (with separate commission compensation), and that essentially all reported AUM is non‑discretionary. The firm also manages held‑away assets through a third‑party platform to avoid custody, requires the use of a single custodian relationship, and does not vote client proxies.
Client services
Financial planning
Portfolio management
Expertise
Cash flow / budgeting
Debt management
Fee options
$0 - $1,000,000: 1.5% annually Over $1,000,000+: 1.0% annually
Main office location
Penfield Investments LLC
Central Point OR, United States
Number of offices
1
Most active in
Penfield Investments LLC has reported serving >5 clients in these states in the last 12 months.
Hawaii · Oregon
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.
-
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.
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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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