Trek Financial

CRD#109376
Investment Advisor Firm

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Learn more about Trek Financial

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Trek Financial is a financial advisory firm based at 8355 East Hartford Drive, Scottsdale, Arizona, 85255. The firm is registered in 18 states across the U.S., including Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Nevada, New Mexico, Ohio, Oregon, South Carolina, Texas, Utah, Virginia, Washington, Wisconsin, and Wyoming.

    The firm oversees $1.9 billion in assets under management (AUM), placing it in the category of a large-sized firm in terms of AUM. These assets are distributed across 9873 client accounts, all of which are managed on a discretionary basis. This implies that the 52 financial advisors at Trek Financial have the authority to execute investment transactions on behalf of their clients without requiring prior approval.

    In the previous fiscal year, Trek Financial provided financial planning services to a number of clients ranging between 101 and 250. The firm offers a variety of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, educational seminars, and other services.

    Trek Financial has affiliations in the financial industry with insurance companies or agencies. The firm employs various types of fee structures, including asset-based, hourly, and fixed fees. It also participates in a wrap fee program.

    The firm engages with various types of investors, including retail investors, high net worth investors, pension plans, charitable organizations, and corporations. Its largest client type by accounts is retail investors, and it also serves 9 high net worth clients.

    Assets Under Management

    $1.9 billion

    Number of Advisors

    52

    Disclosures

    No

    Office Location

    8355 East Hartford Drive
    Scottsdale, AZ 85255

    Trek Financial by the Numbers

    Total Assets Under Management

    $1.9 billion

    National Average: $8.6 billion
    Total Number of Employees

    57

    National Average: 64
    Total Number of Accounts

    9,873

    National Average: 375,227
    Average Account Size

    $190.1 thousand

    National Average: $23.0 thousand
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    Products and Services

    Trek Financial offers a number of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, educational seminars and other services. In the past financial year, the firm provided 101-250 of its customers with financial planning services. Trek Financial does not sell products or offer services aside from investment advisory services to its investment advisory clients. Trek Financial is also affiliated with one or more other service providers in the financial services industry, including with an insurance company or agency.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees charged by financial advisors typically vary depending on the financial services offered. Fees billed by the firm likely are comprised of the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are provided by the firm.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company manages money for a broad range of clients. The company provides services to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 9,873 clients, Trek Financial's biggest client is retail investors, although it also caters to 396 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients reside abroad.

    • High-Net-Worth Individuals* - 9.36%
    • Other Individuals - 87.09%
    • Corporations - 3.4%
    • Charitable Organizations - 0.14%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Trek Financial does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Trek Financial

    Bradley Graham
    Heber City, UT
    Zachary Abraham
    Scottsdale, AZ
    Tory Anderson
    Vernal, UT
    Martin Muse
    Scottsdale, AZ
    Chad Johnson
    Tacoma, WA
    Joshua Manwaring
    Scottsdale, AZ
    John Walker
    Scottsdale, AZ
    Keturah Cox
    Middleton, WI
    Christopher Captain
    Scottsdale, AZ

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    The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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