Penfield Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$4,284,636
Total clients
21
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
21
Average account size
$204,030
About
The firm provides ongoing asset management and financial planning services primarily to individual and high‑net‑worth clients, reporting approximately $4.28 million under management across 21 client relationships. It offers both discretionary and non‑discretionary engagement options and also uses a third‑party platform to review and advise on held‑away retirement plan participant accounts.
Its investment process draws on fundamental, technical, and charting analyses and is tailored to each client’s stated goals, time horizon, and risk tolerance. The brochure shows the firm currently reports all assets as non‑discretionary and states it will obtain client approval before executing transactions while reviewing held‑away accounts at least quarterly.
Noteworthy distinctions include that the firm’s principal maintains a licensed insurance practice and spends a small portion of time offering insurance products for which they receive commission compensation, a disclosed conflict of interest. The brochure’s discussion of currency risk and the firm’s reliance on held‑away, non‑discretionary management arrangements suggest client relationships and exposures that differ from many solo independent advisers.
Client services
Financial planning
Portfolio management
Fee options
$0 - $1,000,000: 1.5% Over $1,000,000+: 1.0%
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:
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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.
Main office location
Penfield Investments LLC
Central Point OR, United States
Number of offices
1
Forms ADV
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