Penney Financial is an SEC registered investment adviser organized as a limited liability company with a primary office location in Houston, TX. Its latest Form ADV filing, dated March 24, 2026, reports $304M in regulatory assets under management, 3 employees, 2 offices, and 465 accounts.
Assets Under Management
$304M
Employees
3
Offices
2 offices
Total Clients
110
Primary office
HOUSTON, TX
825 TOWN AND COUNTRY LANE, 12TH FL, HOUSTON, TX, United States
Portfolio management for individuals and small businesses
Fee models offered
3 types reported
Asset based fees
Fixed fees
Hourly charges
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentHNWI represent 87.3% of total clients.
Top client categories% of clientsClients
1
HNWI
87.3%
96
2
Individuals
11.8%
13
3
Charitable
0.9%
1
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$304Mas of March 24, 2026
Discretionary100.0%
$304M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$304M
Total Accounts465
10Y AUM Change+$195M (+178.9%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees3
Clients per Employee37:1
10Y Employee Change+1 (+50.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.