Pfg Investments, Llc
- Regulatory AUM
- $437M
- Discretionary
- $49.4M
- Clients
- 474
- Avg AUM / client
- $921K
- Accounts
- 1,984
- Employees
- 28
AUM over time
Annual snapshots from Form ADV filings · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 202 | $48.5M | 11.1% |
| High net worth individuals | 36 | $103M | 23.5% |
| Pension and profit sharing plans | 236 | $285M | 65.3% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nathan Eldon Williams | Member | CFP | Dec 2016 (10y) | ≈ 37.5% – 75% via Williams Hold Co, Llc |
| Rogers, Chad, K | Member | Dec 2016 (10y) | ≈ 7.5% – 25% via Rogers Four, Llc | |
| Ryan Paul Millar | Member | Dec 2016 (10y) | ≈ 7.5% – 25% via Millar Six, Llc | |
| Penkert, Weston, John | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Ekaterina Anatolyevna Kostenko | Registered representative | CFP | Oct 2018 (8y) | |
| Ryan William Fiegi | Registered representative | CFP | Feb 2020 (6y) | |
| Kyler David Johnson | Registered representative | CFP | Jan 2023 (4y) | |
| Jakob Raymond Wilson | Registered representative | CFP | Sep 2024 (2y) | |
| Sean Mark Wilson | Registered representative | CFP | Jan 2025 (2y) | |
| Andreas Nmn Steven | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Williams Hold Co, Llc | Holding Company / Majority Owner | Jun 2017 | A | 50% – 75% |
| Millar Six, Llc | Holding Company | Jun 2017 | A | 10% – 25% |
| Rogers Four, Llc | Holding Company | Jun 2017 | A | 10% – 25% |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Nathan Eldon Williams: 75% – 100% of Williams Hold Co, Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Rogers, Chad, K: 75% – 100% of Rogers Four, Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Ryan Paul Millar: 75% – 100% of Millar Six, Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
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) | 03/05/2026 | 1.04 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $387M (89% of AUM) Mar 2026
- Matrix Trust Company $49.4M (11% of AUM) Mar 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 31, 2026.
View current Form ADV (SEC/IAPD) ↗