Pfg Investments, LLC

CRD#289256
Investment Advisor Firm

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Learn more about Pfg Investments, LLC

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

    • Overview

    Pfg Investments, LLC operates as a financial advisory firm that has its headquarters in Jacksonville, Oregon. The company manages $232.9 million in total assets throughout 1,207 customer accounts, placing it in the mid-tier of investment advisory firms in the nation by assets under management (AUM). Pfg Investments, LLC has a small group, including 5 financial advisors. Pfg Investments, LLC is not a registered broker-dealer, signifying that it cannot buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable financial assets like bonds, stocks and options.

    Pfg Investments, LLC manages none of the company's accounts in a discretionary manner. Discretionary management means that a portfolio manager makes buy and sell judgments for the client's account without requiring client consent. Pfg Investments, LLC also oversees 1,207 non-discretionary accounts totaling $232.9 million in assets. The firm's average account size is $192,921. The typical financial advisor at Pfg Investments, LLC administers around 241 client accounts.

    Pfg Investments, LLC's main office is located at 725 N. 5Th Street,, Jacksonville, Oregon 97530. Pfg Investments, LLC is legally allowed to provide services to customers across 13 U.S. states and territories.

    Assets Under Management

    $232.9 million

    Number of Advisors

    5

    Disclosures

    No

    Office Location

    725 N. 5Th Street,
    Jacksonville, OR 97530

    Pfg Investments, LLC by the Numbers

    Total Assets Under Management

    $232.9 million

    National Average: $8.6 billion
    Total Number of Employees

    12

    National Average: 64
    Total Number of Accounts

    1,207

    National Average: 375,227
    Average Account Size

    $192.9 thousand

    National Average: $23.0 thousand
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    Products and Services

    Pfg Investments, LLC offers a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the prior financial year, the company provided financial planning services to 251-500 of its accounts. It does sell products or offer services other than investment advisory services to its clients. It is also affiliated with one or more other companies in the financial services industry, including with an accountant or accounting firm and 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.

    • Find a firm that offers this service

      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 depend on which service is offered. Fees billed by the firm can be comprised of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Pfg Investments, LLC.

    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

    Pfg Investments, LLC provides services to retail investors, high net worth investors and pension plans. Out of its 1,207 clients, Pfg Investments, LLC's largest client by number of accounts is retail investors, though it also serves 19 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 at least $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 are represented by non-U.S. persons.

    • High-Net-Worth Individuals* - 3.63%
    • Other Individuals - 50.19%
    • Corporations - 46.18%
    • 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

    Pfg Investments, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Pfg Investments, LLC

    Ekaterina Kostenko
    Jacksonville, OR
    Ryan Millar
    Washington, UT
    Kyler Johnson
    Bolton, MA
    Nathan Williams
    Jacksonville, OR
    Ryan Fiegi
    Jacksonville, OR

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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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