PALLER FINANCIAL SERVICES, INC.
Adviser information for PALLER FINANCIAL SERVICES, INC. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 382 | $95.4M |
| Non-Discretionary | 28 | $22.3M |
| Total | 410 | $117.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 128 | $40.0M |
| HNW Individuals | 31 | $77.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 4 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 140 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-129389 |
|---|---|
| SEC ERA File Number | 801-129389 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161531 |
| Legal Entity Identifier | None |
Principal Office
9000 E NICHOLS AVENUE#120
CENTENNIAL
CO
United States
MONDAY-THURSDAY, 9:00 AM - 5:00 PM
Tel: 303-858-0045, Fax: 303-802-4475
Chief Compliance Officer
MARK MOGLE
FINANCIAL ADVISOR, CFP, EA
9000 E NICHOLS AVENUE
120
CENTENNIAL
CO
United States
Tel:
303-858-0045
Fax:
303-802-4475
M*********@******************M
(Full email address available in API data)
Regulatory Contact
MARK PALLER
PRESIDENT
9000 E. NICHOLS AVENUE
120
CENTENNIAL
CO
United States
Tel:
303-858-0045
Fax:
303-802-4475
M**********@******************M
(Full email address available in API data)
Industry Affiliates
| PALLER FINANCIAL SERVICES, INC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PALLER, MARK, RANDALL | Individual | – | OWNER/PRESIDENT | 11/2000 | > 75% |
| MOGLE, MARK, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | 10-25% |