Penfield Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Penfield Investments LLC provides ongoing asset management and financial planning to individual and high‑net‑worth clients (55 relationships, approximately $4.87 million in reported AUM as of 12/31/2025). The firm offers direct asset management and works with clients to review and rebalance held‑away retirement plan accounts via a third‑party aggregation platform; it also offers insurance products through an affiliated insurance practice.
The firm’s advisory agreement permits both discretionary and non‑discretionary authority, but its reported assets are managed on a non‑discretionary basis (discretionary: $0; non‑discretionary: $4,870,000). Investment work uses fundamental, technical and charting analysis, and for non‑discretionary accounts the adviser proposes transactions that require client approval; held‑away accounts are reviewed at least quarterly for potential rebalancing.
Notable departures from many small independent advisers include a significant non‑U.S. client base, an affiliated insurance business that the principal devotes roughly 5% of his time to (with separate commission compensation), and that essentially all reported AUM is non‑discretionary. The firm also manages held‑away assets through a third‑party platform to avoid custody, requires the use of a single custodian relationship, and does not vote client proxies.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.5% annually Over $1,000,000+: 1.0% annually
Main office
Central Point OR
Advisors at this office
1
Most active in
Hawaii · Oregon
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.
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