Pelleton Capital Management, LTD

CRD#117679
Investment Advisor Firm

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Overview

Pelleton Capital Management, LTD is a financial advisor company headquartered in Scottsdale, Arizona. Pelleton Capital Management, LTD oversees $13.9 million in total assets over 91 client accounts. The company has a small group of one employee who is a financial advisor. Pelleton Capital Management, LTD does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are tradable financial assets like bonds, options and stocks.

Pelleton Capital Management, LTD manages most of the company's accounts on a discretionary basis. Discretionary management signifies that transaction choices are made by an investment advisor without needing to seek client approval. The company also administers 14 non-discretionary accounts with a total of $2.9 million in AUM. The firm manages an average of $152,832 for each customer account. $500,001 to $1,000,000 of its financial planning investments were in securities, with $100,001 to $500,000 invested in non-securities. An average advisor at Pelleton Capital Management, LTD administers around 91 client accounts.

The company's main office is at 7231 E. Princess Blvd., Scottsdale, Arizona 85255. It is registered to provide services to customers throughout a number of states, including Arizona and Washington.

Assets Under Management

$13.9 million

Number of Advisors

1

Fee Structure

Asset-based, Hourly, Fixed, Other

Disclosures

No

Office Location

7231 E. Princess Blvd.
Scottsdale, AZ 85255

Pelleton Capital Management, LTD by the Numbers

Total Assets Under Management

$13.9 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 4,943
Total Number of Accounts

91

National Average: 2,522
Average Account Size

$152.8 thousand

National Average: $1.3 million

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Products and Services

Pelleton Capital Management, LTD offers a variety of services, which can consist of financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. In the prior fiscal year, the company provided financial planning services to 11-25 of its accounts. Pelleton Capital Management, LTD is involved in selling products or offering services aside from investment advice to its customers. The firm is affiliated with one or more other companies in the financial services industry, including with an insurance company or agency.

Core Advisor Services

  • Offered by 45% 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 63% 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 23% 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 10% 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

Financial advisory fees usually vary depending on which services are offered. However, fees charged by the firm likely include the following fee structures: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Pelleton Capital Management, LTD. The company is able to withdraw the fees directly from client accounts.

Available

  • Offered by 75% 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 37% 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 40% 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.

  • Offered by 12% of firms

    Other

    Show Explanation

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

Unavailable

  • Find one of the 3% 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 17% 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 1% 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.

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Types of Clients

The company provides services to retail investors. Out of its 91 clients, Pelleton Capital Management, LTD's biggest client type by number of accounts is retail investors. None of the company's accounts reside abroad.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • Corporations - 0%
  • Charitable Organizations - 0%

* 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

Pelleton Capital Management, LTD does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA