A complete list of active advisors currently associated with Penfacs Financial Services
Warmer can help you find a great advisor at Penfacs Financial Services or one who fits your needs even better.
PenFacs Financial Services, Inc. is a small SEC-registered investment adviser that provides portfolio management and financial planning to individuals and business clients, reporting roughly $23.16 million in managed assets across 17 client relationships and operating with two investment professionals. The firm offers both discretionary and non-discretionary arrangements and advises on a broad range of instruments including mutual funds, ETFs, variable annuities, REITs, and limited partnerships. The firm primarily implements client strategies through model portfolios and, when used, sub‑advisers, and it employs a mix of analytical approaches—charting, technical and fundamental analysis, cyclical analysis, and Modern Portfolio Theory—alongside long‑ and short‑term trading techniques. Cash management is handled through the custodian’s designated money‑market sweep, and the firm documents a fiduciary process for retirement account rollover recommendations. Distinctive features disclosed in the brochure include affiliated broker‑dealer and insurance activities: advisers are registered representatives of an affiliated broker‑dealer and are licensed insurance agents of an affiliated insurance agency, and may receive commission compensation on sales of insurance products and variable annuities. The firm also routinely directs clients to a specific custodian for brokerage and custody and does not vote client proxies, leaving voting responsibility to clients—practices that create potential conflicts of interest and operational differences relative to many peers.
To learn more about the advisors currently working at Penfacs Financial Services, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.
Name |
Location |
Years of experience |
|---|---|---|
Southborough, MA
| —
| |
Southborough, MA
| 51
|
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