DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Peterson Financial Group, Inc.
Latest filing Feb 24, 2026
First filing on the tape Mar 13, 2021 · 17 filings
SEC status approved since Apr 13, 2021
RAUM
$299M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$293M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.7M
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$299M as of Feb 24, 2026
Mar 10, 2022$160M then
HNW client RAUM$98.6M as of Feb 24, 2026
Mar 10, 2022$24.8M then
State-registered IARs (5.B.3)3 as of Feb 24, 2026
Mar 10, 20222 then
Employees (5.A)11 as of Feb 24, 2026
Mar 10, 20229 then
Private funds: no history
RAUM +21% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $99.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $220,159derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 522reportedItem 5.H
- Wrap fee program
- $598MreportedItem 5.I
- Custody
- $38,500, 7 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$194M65%
- High-net-worth individuals$98.6M33%
- Pension and profit-sharing plans$6.5M2.2%
- Individual clients
- 452reported
- HNW clients
- 64reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 1,359reported
- Financial planning clients
- 522reported
- Wrap fee programs
- $299M sponsored, $299M managedreported
- Custody of client assets
- $38,500 for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric Alan Peterson | Des Moines, Ia | Oct 31, 2013 | 31 y | 6 |
| Jared Lee Stines | Des Moines, Ia | Jan 14, 2019 | 15 y | 4 |
| Richard Rademacher | Des Moines, Ia | Jun 7, 2024 | 10 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Tamara Lynn Smith to Legacy Financial GroupNov 13, 2018 · RIA to RIA
Joined, latest
- Richard Rademacher from Thrivent Investment Management Inc.Jun 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jared Lee Stines from Cetera Investment Advisers LLCJan 14, 2019 · Affiliated broker-dealer or bank to independent RIA
- Tamara Lynn Smith from Principal Securities, Inc.Nov 10, 2016 · Other
- Eric Alan Peterson from Global Financial Private Capital, Inc.Oct 31, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Eric Peterson · President/Chief Compliance Officercontrolsince 10/2013 · owns 75% or more
- Louise Linda Richardson · Chief Operating Officercontrolsince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Des Moines, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,251 to 1,359Feb 28, 2025 to Feb 24, 2026
- HNW clients · 103 to 64Feb 28, 2025 to Feb 24, 2026
- Individual clients · 382 to 452Feb 28, 2025 to Feb 24, 2026
- Pension plan clients · 10 to 6Feb 28, 2025 to Feb 24, 2026
- Assets in custody · $38,900 to $38,500Feb 28, 2025 to Feb 24, 2026
- Financial planning clients · 251-500 to More than 500Feb 28, 2025 to Feb 24, 2026
- Discretionary RAUM · $235M to $287MFeb 28, 2025 to Feb 24, 2026
- HNW RAUM · $110M to $98.6MFeb 28, 2025 to Feb 24, 2026
- Individual RAUM · $133M to $194MFeb 28, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $12.7M to $12.2MFeb 28, 2025 to Feb 24, 2026
- Pension RAUM · $4.8M to $6.5MFeb 28, 2025 to Feb 24, 2026
- RAUM · $248M to $299MFeb 28, 2025 to Feb 24, 2026
- Wrap assets (manager) · $6.0M to $299MFeb 28, 2025 to Feb 24, 2026
- Wrap assets (sponsor) · $229M to $299MFeb 28, 2025 to Feb 24, 2026
- Accounts · 1,086 to 1,251Jul 26, 2024 to Feb 28, 2025
- Advisory employees · 2 to 3Jul 26, 2024 to Feb 28, 2025
- HNW clients · 45 to 103Jul 26, 2024 to Feb 28, 2025
- Individual clients · 413 to 382Jul 26, 2024 to Feb 28, 2025
- Pension plan clients · 0 to 10Jul 26, 2024 to Feb 28, 2025
- Assets in custody · $1.2M to $38,900Jul 26, 2024 to Feb 28, 2025
- Employees · 9 to 11Jul 26, 2024 to Feb 28, 2025
- Financial planning clients · 251-500 to 251-500Jul 26, 2024 to Feb 28, 2025
- State-registered IARs · 2 to 3Jul 26, 2024 to Feb 28, 2025
- Discretionary RAUM · $190M to $235MJul 26, 2024 to Feb 28, 2025
- HNW RAUM · $52.2M to $110MJul 26, 2024 to Feb 28, 2025
- Individual RAUM · $138M to $133MJul 26, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $0 to $12.7MJul 26, 2024 to Feb 28, 2025
- Pension RAUM · $0 to $4.8MJul 26, 2024 to Feb 28, 2025
- RAUM · $190M to $248MJul 26, 2024 to Feb 28, 2025
- Wrap assets (manager) · $190M to $6.0MJul 26, 2024 to Feb 28, 2025
- Wrap assets (sponsor) · $190M to $229MJul 26, 2024 to Feb 28, 2025
- Accounts · 1,019 to 1,086Nov 13, 2023 to Feb 14, 2024
- HNW clients · 9 to 45Nov 13, 2023 to Feb 14, 2024
- Individual clients · 429 to 413Nov 13, 2023 to Feb 14, 2024
- Assets in custody · unset to 1239913.0Nov 13, 2023 to Feb 14, 2024
- Custody of client assets · false to trueNov 13, 2023 to Feb 14, 2024
- Discretionary RAUM · $149M to $190MNov 13, 2023 to Feb 14, 2024
- HNW RAUM · $13.9M to $52.2MNov 13, 2023 to Feb 14, 2024
- Individual RAUM · $135M to $138MNov 13, 2023 to Feb 14, 2024
- RAUM · $149M to $190MNov 13, 2023 to Feb 14, 2024
Signals
1 dated events
- Peterson Financial Group, Inc. filed its initial SEC registration (Form ADV)Mar 13, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@petersonfg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 515-226-1500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- PETERSONFG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 515-226-1500reportedpublic record, Form ADV, Feb 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $99.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026