Trek Financial, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 109376
· SEC file 801-58087
· Scottsdale, AZ
· captainfp.com
☆ Save with Pro
ADV data as of Jul 10, 2026
- Regulatory AUM
- $2.8B
- Discretionary
- $2.8B
- Clients
- 4,688
- Avg AUM / client
- $602K
- Accounts
- 10,768
- Employees
- 55
AUM over time
$241M
$2.8B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,869 | $932M | 33.0% |
| High net worth individuals | 670 | $1.5B | 53.4% |
| Pension and profit sharing plans | 114 | $196M | 6.95% |
| Charitable organizations | 11 | $80.1M | 2.84% |
| Corporations and other businesses | 24 | $107M | 3.78% |
People (63)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Benjamin Ryan Bimson | Chief Investment Officer | Nov 2008 (18y) | 25% – 50% | |
| Young, Justin, Michael | Chief Executive Officer | Sep 2013 (13y) | 50% – 75% | |
| Shea, Thomas Edward | Chief Compliance Officer | Apr 2017 (9y) | Less than 5% | |
| Stephen Curtis Captain | Registered representative | CFP | Jan 2002 (25y) | |
| Mark Elmer Johnson | Registered representative | Sep 2003 (23y) | ||
| David Duncan Carroll | Registered representative | Apr 2008 (18y) | ||
| Jared Nathan Johnsen | Registered representative | Jan 2009 (18y) | ||
| Deborah Lynne Sopher | Registered representative | Oct 2010 (16y) | ||
| David Paul Andersen | Registered representative | Nov 2012 (14y) | ||
| Richard Joshua Hardman | Registered representative | CFP | Dec 2013 (13y) | |
| Kelli Lynn Erickson | Registered representative | Jan 2014 (13y) | ||
| Clinton Ross Brown | Registered representative | CFP Chartered Financial Consultant | Mar 2014 (12y) | |
| Lahn Bart Simmons | Registered representative | Sep 2014 (12y) | ||
| Cynthia Lynn Medina | Registered representative | Oct 2014 (12y) | ||
| Denis Richard Wheatley | Registered representative | Mar 2016 (10y) | ||
| Simon Richard Charles Wheatley | Registered representative | CFP | Mar 2016 (10y) | |
| Brandon Rex Johns | Registered representative | Oct 2016 (10y) | ||
| Steven Mark Manning | Registered representative | Nov 2016 (10y) | ||
| Evan G Mathew | Registered representative | Jul 2017 (9y) | ||
| Graham Barton Mcdougal | Registered representative | Jul 2017 (9y) | ||
| Darcel Dee Stucki | Registered representative | Aug 2017 (9y) | ||
| John Walker | Registered representative | Aug 2017 (9y) | ||
| Rick Harold Jones | Registered representative | Aug 2017 (9y) | ||
| Jolyn Whittaker | Registered representative | Apr 2018 (8y) | ||
| Michael Shannon Trent | Registered representative | Jul 2018 (8y) | ||
| Richard T Kinney | Registered representative | Jul 2018 (8y) | ||
| Dino John Lopresti | Registered representative | Aug 2018 (8y) | ||
| Eric Gary Burstock | Registered representative | Personal Financial Specialist | Dec 2018 (8y) | |
| Delmer P Hyde | Registered representative | Chartered Financial Consultant | Apr 2019 (7y) | |
| Chesley Hicken Erickson | Registered representative | May 2019 (7y) | ||
| Deborah Jean Detray | Registered representative | Dec 2019 (7y) | ||
| Martin Muse | Registered representative | Jan 2020 (7y) | ||
| Peter Michael Cymbalak | Registered representative | Feb 2020 (6y) | ||
| Carolyn Mcclenny | Registered representative | Apr 2020 (6y) | ||
| Mark David Whittaker | Registered representative | Personal Financial Specialist | Jun 2020 (6y) | |
| Kaitlin M Desnoyer | Registered representative | Nov 2020 (6y) | ||
| Keiko Lambert | Registered representative | Nov 2020 (6y) | ||
| Anthony Lopresti | Registered representative | May 2021 (5y) | ||
| Tory Dee Anderson | Registered representative | Jun 2021 (5y) | ||
| Caleb Cymbalak | Registered representative | Jul 2021 (5y) | ||
| Gavin Riley Schmitt | Registered representative | Aug 2021 (5y) | ||
| Kristen Michele Grijalba | Registered representative | Sep 2021 (5y) | ||
| Chad James Johnson | Registered representative | Jan 2022 (5y) | ||
| H Justin Adolphson | Registered representative | Jan 2022 (5y) | ||
| Miguel Angel Villahermosa | Registered representative | Jan 2022 (5y) | ||
| Zachary Kye Abraham | Registered representative | Jan 2022 (5y) | ||
| Alexandra Laray Abraham | Registered representative | Feb 2022 (4y) | ||
| Craig Dewain Poulson | Registered representative | May 2022 (4y) | ||
| Travis Michael Off | Registered representative | May 2022 (4y) | ||
| Jared Duane Williams | Registered representative | CFP | Dec 2022 (4y) | |
| Bradley K Graham | Registered representative | Feb 2023 (3y) | ||
| Christopher Stephen Captain | Registered representative | Feb 2023 (3y) | ||
| David Tyler Heymann | Registered representative | Mar 2023 (3y) | ||
| Jessica Lane | Registered representative | Apr 2024 (2y) | ||
| Romney Beal Harker | Registered representative | CFP | Oct 2024 (2y) | |
| Corina Kempe | Registered representative | Feb 2025 (1y) | ||
| Sara Dicamillo Ferrell | Registered representative | Apr 2025 (1y) | ||
| Tyler Mark Whittaker | Registered representative | Jul 2025 (1y) | ||
| David Elgin Maxey | Registered representative | Oct 2025 (1y) | ||
| Brandon Tyler Soares | Registered representative | Nov 2025 (1y) | ||
| Jace Michael Beck | Registered representative | Jan 2026 (1y) | ||
| James Moore Mcclenny | Registered representative | Jan 2026 (1y) | ||
| Jordan Daniel Floyd | Registered representative | Jun 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.29 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $2.4B (85% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗