AdvisorCensus / Financial advisors / Peterson Investment Management Inc
Peterson Investment Management Inc
Filed as PETERSON INVESTMENT MANAGEMENT INC
Peterson Investment Management Inc is an SEC-registered investment advisory firm, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 3, 2026.
Quick answers
From the filingHow is Peterson Investment Management Inc compensated?
On its Form ADV (Item 5.E, October 2026), Peterson Investment Management Inc reports these compensation arrangements: a percentage of assets under its management.
How much does Peterson Investment Management Inc charge?
Its Form ADV Part 2A brochure dated July 8, 2026 states: Up to $500,000: 1% a year; $500,000 to $1,500,000: 0.75% a year; $1,500,000 to $2,500,000: 0.5% a year; Above $2,500,000: 0.375% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Is Peterson Investment Management Inc registered with the SEC or a state?
Peterson Investment Management Inc is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 105634.
How much does Peterson Investment Management Inc manage?
Peterson Investment Management Inc reports $146,121,289 in regulatory assets under management in its Form ADV filing dated September 3, 2026 (100% discretionary).
What types of clients does Peterson Investment Management Inc serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (42); individuals (other than high net worth individuals) (27); charitable organizations (1).
Which custodians does Peterson Investment Management Inc use?
Peterson Investment Management Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Peterson Investment Management Inc report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105634
Does Peterson Investment Management Inc state an account minimum?
Its Form ADV Part 2A brochure dated July 8, 2026 says: "Peterson Investment Management, Inc. requires $1,000,000 in managed assets for new clients. The minimum may be met at the household level with multiple accounts." "The adviser may, at its discretion, waive the new client minimum for those referred by existing clients. There is no minimum for maintaining accounts."
What changed in Peterson Investment Management Inc's recent Form ADV filings?
In the September 2026 filing data: Newly registered with the SEC.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $500,000 | 1% |
| $500,000 to $1,500,000 | 0.75% |
| $1,500,000 to $2,500,000 | 0.5% |
| Above $2,500,000 | 0.375% |
The brochure's wording
I am compensated by a fee based on assets under management according to the schedule below. Fees are not negotiable and are calculated on portfolio value.
First $500,000 1.000% Next $1,000,000 0.750% Next $1,000,000 0.500% Over $2,500,000 0.375%
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Peterson Investment Management, Inc. requires $1,000,000 in managed assets for new clients. The minimum may be met at the household level with multiple accounts.
The adviser may, at its discretion, waive the new client minimum for those referred by existing clients. There is no minimum for maintaining accounts.
As stated in the firm's Form ADV Part 2A brochure dated July 8, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$146,121,289 as of October 2026, filing dated September 3, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- September 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Peterson Investment Management Inc (CRD 105634): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/peterson-investment-management-inc-105634