Pelleton Capital Management, Ltd.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Pelleton Capital Management provides personalized investment management and confidential financial planning to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. In addition to discretionary portfolio management, the firm is licensed to sell life and health insurance and may offer commission-based annuities, life, and long-term care insurance when deemed appropriate, with an Insurance Acknowledgment used to document those arrangements.
The firm’s investment approach centers on passively managed index funds and exchange-traded funds as core holdings, augmented by a relative-strength, risk-aware tactical overlay and global diversification to manage downside risk. Advice is delivered on an ongoing discretionary basis and can be implemented through a variety of engagement types, including hourly work, comprehensive financial plans, or a set-up plus monthly subscription option.
Distinctive aspects include the firm’s active role as an insurance broker (an activity the brochure notes consumes less than 30% of its time) together with the presentation of periodic educational workshops for clients and prospects. Other noteworthy details are negotiable fee arrangements spanning percentage-of-AUM, hourly, and subscription models, no stated account minimums, and management of roughly $12 million across a small number of client households, which supports more individualized attention and periodic reviews.
Client services
Expertise
Fee options
0.75% to 1.50%, based on assets under management and complexity; fees are negotiable and determined on a case-by-case basis
Insurance products (annuities, life insurance, long-term care insurance) may be sold on commission basis as appropriate; less than 30% of time spent on these activities
Hourly planning engagements charged at $240 per hour
Monthly subscription fee ranging from $39 to $89 for financial planning, negotiable based on complexity
Fee-only: Financial planning fees at $240 per hour; or initial set-up fee ($495 - $895) plus monthly subscription fee ($39 - $89), both negotiable based on complexity
Main office
Scottsdale AZ
Advisors at this office
1
Most active in
Arizona
Also doing business as
Pelleton Capital Management, Ltd. · Real401 Kadvice.Com
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:
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.
Forms ADV
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