Peter Prescott
Peter Prescott is a PFS-designated registered investment advisor at Independent Financial Group, LLC, based in San Juan Capistrano, CA, with 40 years of industry experience. Peter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 2.00% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.0M | 2.00% |
| $2.0M - $5.0M | 2.00% |
| $5M+ | 2.00% |
Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.
Fee Estimator
Location
31601 Avenida Los Cerritos, Suite 200, San Juan Capistrano, CA, 92675
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Peter is a licensed insurance agent, a CPA running his own practice, and involved in various real estate ventures including rental properties and property management. He also dedicates about half his time to his CPA practice and about 10-20% of his time to marketing under the DBA Prescott Tax & Wealth Management.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
Financial Network Investment Corporation
Financial Network Investment CorporationBroker
Aig Financial Advisors, INC.Broker
Aig Financial Advisors, INC.
Spelman & CO INC
Spelman & CO., INC.Broker
Girard Securities, INC.Broker
Colonial Investment Services, INC.Broker
The Managers Funds L.P.Broker
Touchstone Securities, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Pacific Financial Associates, INC.Broker
Anchor National Financial Services, INC.Broker
Angeles/quinoco Securities, INC.Broker
First Realty Reserve INCBroker
State Registrations24 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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