Carl F. Petersen. Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$42,500,000
Clients
132
Advisors
5
across 2 offices
About
The firm provides personalized investment management and occasional confidential financial planning to individuals, pension and profit‑sharing plans, trusts, estates, charitable organizations and small businesses, and the brochure also lists investment companies among its client types — a less common client segment for peer team firms. It reports managing roughly $43 million for about 130 clients and communicates periodic risk‑profile assessments and written updates, including a MarketTrends newsletter that summarizes multi‑timeframe trends.
Investment management is predominantly discretionary under a limited power of attorney and is implemented using proprietary technical and quantitative models across four core ETF‑based strategies (fixed income, allocation plus, equity and global), generally using no‑load/low‑load mutual funds and ETFs. The firm emphasizes systematic timing indicators for each asset class, tailored investment policy statements, and regular portfolio reviews, and notes that some aggressive strategies and hedging components are restricted to hedge funds or accredited investors.
Distinctive features include a team member who holds a Series 3 commodity futures registration and the firm’s confirmation that futures contracts are among permitted investments, and the brochure discloses that performance‑based fee arrangements are optionally available to qualified clients (typically using a high‑watermark method). The firm also discloses an instance of an advisor’s involvement in cryptocurrency arbitrage and a temporary reassignment of that advisor’s client duties while the activity was ongoing, signaling exposure to less‑typical trading activities for a firm of its size.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
$0 - $1,000,000: 1.50% $1,000,000.01 - $5,000,000: 1.00% $5,000,000.01 - $10,000,000: 0.75% $10,000,000.01+: 0.60%
May sell annuities, stocks, bonds, mutual funds, limited partnerships, or other commissioned products with client consent
Hourly planning engagements billed at $250 per hour, negotiable
Performance fees offered optionally to qualifying clients; typically a percentage of profits using High Watermark method
Account minimum: No required account minimum; recommended initial minimum is $250,000 Minimum fee: Investment Management Agreement annual fee starts at $5,000 and is negotiable Fee-only: Firm is predominately fee-only investment advisory; may sell commissioned products with client consent but is not affiliated with product sellers
Main office
See officePrescott AZ
Advisors at this office
3
Offices (2)
Most active in
Arizona
Also doing business as
Carl F. Petersen, Inc. · Carl F. Petersen. Inc · Petersen Carl F Inc
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Forms ADV
Advisors at this firm
Annette P
Series 65
Prescott, AZ
Carl F. Petersen. Inc
Annette Petersen is a financial advisor at Carl F. Petersen, Inc. in Prescott, AZ, holding a Series 65 designation with 23 years of industry experience. She has been with Carl F. Petersen, Inc. since 1988. The firm provides personalized investment management and occasional confidential financial planning to a diverse client base including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, small businesses, and investment companies. Their approach uses proprietary technical and quantitative models across ETF-based strategies, emphasizing systematic timing indicators, tailored investment policies, and regular portfolio reviews.
Trent W
Series 65
Prescott, AZ
Carl F. Petersen. Inc
Trent Watson is a financial advisor at Carl F. Petersen, Inc with 18 years of industry experience. He holds a Series 65 designation and has been with the firm since 2008. Carl F. Petersen, Inc provides personalized investment management and occasional confidential financial planning to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, small businesses, and investment companies. The firm uses proprietary technical and quantitative models across core ETF-based strategies and communicates regular risk-profile assessments and market updates to its clients.
Carl P
Series 65
Prescott, AZ
Carl F. Petersen. Inc
Carl Petersen is a financial advisor at Carl F. Petersen, Inc. in Prescott, AZ, holding a Series 65 designation with 28 years of industry experience. He has been with Carl F. Petersen, Inc. since 1998. Outside of his advisory role, he is involved as a commodity pool operator or commodity trading advisor with CB Trading. Carl F. Petersen, Inc. is a team-based firm managing approximately $43 million for about 130 clients, including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, small businesses, and investment companies. The firm uses proprietary technical and quantitative models across four core ETF-based strategies, emphasizing systematic timing indicators, tailored investment policy statements, and regular portfolio reviews.
Carl P
Series 65
Prescott, AZ
Carl F. Petersen. Inc
Carl Petersen Jr. is a financial advisor with Carl F. Petersen, Inc. in Prescott, AZ, holding a Series 65 designation and 19 years of industry experience. He has been with Carl F. Petersen, Inc. since 2008 and also serves as a director of CB Trading Inc., an incubator fund with no outside assets which solely consists of the principals’ funds. Carl F. Petersen, Inc. provides personalized investment management and occasional confidential financial planning to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, small businesses, and investment companies. The firm manages approximately $43 million for about 130 clients, using proprietary technical and quantitative models across core ETF-based strategies, emphasizing systematic timing indicators and regular portfolio reviews.
Nicholas P
Series 65
Prescott, AZ
Carl F. Petersen Inc
Nicholas Petersen is a financial advisor at Carl F. Petersen Inc in Prescott, AZ, with 10 years of industry experience and a Series 65 designation. He has been affiliated with Copenhagen Business School since 2011. Carl F. Petersen Inc provides personalized investment management and occasional confidential financial planning to a diverse range of clients, including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, small businesses, and investment companies. The firm employs proprietary technical and quantitative models across core ETF-based strategies and emphasizes systematic timing indicators, tailored investment policy statements, and regular portfolio reviews.
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