Petersen and Hicks
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Petersen and Hicks serves individual clients, including high-net-worth individuals, offering comprehensive financial planning, investment portfolio advisory, and on-request consulting. The firm also refers clients to third‑party investment managers for ongoing asset management and assists with non‑discretionary trade execution when requested.
The firm describes its role as a fiduciary and tailors advice to each client’s objectives, risk tolerance, and time horizon using fundamental analysis and periodic reviews; it conducts due diligence and ongoing monitoring of third‑party managers when they are used. Notably, Petersen and Hicks charges flat or hourly advisory fees rather than a percentage‑of‑assets model and does not provide continuous supervisory investment management or report regulatory assets under management.
Distinctive features disclosed in the brochure include principals who are enrolled agents providing tax preparation and a partner who is a licensed insurance agent, both offered under separate engagement agreements, and the firm’s occasional practice of crossing bonds between consenting clients to reduce transaction costs. The firm participates in a major custody program and discloses referral arrangements with third‑party managers, with referral fees credited against client fees to address the resulting conflict of interest.
Client services
Expertise
Fee options
Flat fees up to $20,000 for Comprehensive Financial Advisory Service; flat fees up to $10,000 for Investment Portfolio Advisory Service; flat fees up to $5,000 for On Request Financial Consulting and Planning
Hourly fees up to $500/hour for On Request Financial Consulting and Planning Services
Account minimum: $250,000 Minimum fee: Minimum Financial Consulting fee of $500; Written financial plans generally assessed a minimum fee of $2,500 Fee-only: Flat fees for advisory services; flat fee for Comprehensive Financial Advisory Service up to $20,000; flat fee for Investment Portfolio Advisory Service up to $10,000; hourly fees up to $500/hour for On Request Financial Consulting and Planning; flat fee up to $5,000 for On Request Financial Consulting and Planning
Main office
1901 S. Bascom Ave, #1400
Campbell CA 95008
Advisors at this office
2
Most active in
California
Also doing business as
Petersen & Associates · Petersen And Hicks · Petersen, Ronald Gregory
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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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
Advisors at this firm
David H
CFP®
Campbell, CA
Petersen and Hicks
David Hicks is a CFP® professional with six years at Petersen and Hicks and three years of industry experience overall. Prior to joining Petersen and Hicks, he worked at Peak Tax and Finance and spent nine years with the Department of Veterans Affairs at the VA Palo Alto Health Care System. He is involved in non-CPA tax preparation and planning through Petersen and Hicks. Petersen and Hicks serves individual clients, including high-net-worth individuals, providing comprehensive financial planning, investment advisory, and consulting services. The firm acts as a fiduciary, tailoring advice to client objectives and risk tolerance, and refers clients to third-party managers while conducting ongoing due diligence.
Ronald P
Series 63
Campbell, CA
Petersen and Hicks
Ronald Petersen is a financial advisor at Petersen and Hicks in Campbell, CA, with 38 years of industry experience. He holds a Series 63 designation and previously worked at First Allied Securities, Inc. and Petersen & Associates. In addition to his advisory role, he is involved in non-CPA accounting and tax preparation and is a licensed insurance agent. Petersen and Hicks serves individual and high-net-worth clients by providing financial planning, investment advisory, and consulting services. The firm acts as a fiduciary, tailoring advice to client objectives and risk tolerance, and utilizes third-party managers for asset management while charging flat or hourly fees.
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