Carl F. Petersen, Inc.
State-registered
Wealth Manager · Boutique (under $100M)
CRD 109489
· SEC file 801-54960
·
· WWW.CARLFPETERSEN.COM
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ADV data as of Jan 30, 2020
- Regulatory AUM
- $43.1M
- Discretionary
- $43.1M
- Clients
- 134
- Avg AUM / client
- $321K
- Accounts
- 134
- Employees
- 6
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 112 | $16.5M | 38.3% |
| High net worth individuals | 20 | $26.0M | 60.4% |
| Investment companies | 2 | $550K | 1.28% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carl F Petersen | Registered representative | Nov 1997 (29y) | ||
| Annette Petersen | Registered representative | May 2003 (23y) | ||
| Carl Frederik Petersen | Registered representative | Aug 2007 (19y) | ||
| Trent Allan Watson | Registered representative | Dec 2008 (18y) | ||
| Nicholas Pierre Petersen | Registered representative | Feb 2016 (10y) |
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) | 01/30/2020 | 1020 KB | 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
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 30, 2020.
View current Form ADV (SEC/IAPD) ↗