Tom Puentes
Tom Puentes is a registered investment advisor at Peachcap Tax & Advisory, LLC, based in Langley, WA, with 38 years of industry experience. Tom operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 248 clients with $150M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
PeachCap Tax & Advisory manages investment portfolios through its wrap fee program. This bundled fee covers portfolio management, custodial services, and transaction costs. The firm selects securities and implements trades, while Hilltop Securities or Axos Advisor Services executes the trades and provides custody. The overall cost may be higher or lower than purchasing the services separately.
Location
Langley, WA
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Regulatory History (33)
Customer Dispute
March 2020Regulatory
July 2019Customer Dispute
June 2018Customer Dispute
May 2018Employment Separation After Allegations
May 2018Customer Dispute
April 2018Customer Dispute
March 2018Customer Dispute
February 2018Customer Dispute
February 2018Customer Dispute
July 2017Customer Dispute
January 2017Regulatory
October 2016Customer Dispute
February 2016Customer Dispute
January 2016Customer Dispute
January 2016Customer Dispute
October 2015Customer Dispute
September 2015Customer Dispute
September 2015Customer Dispute
August 2015Customer Dispute
July 2015Customer Dispute
June 2015Customer Dispute
June 2015Customer Dispute
April 2015Customer Dispute
March 2015Customer Dispute
January 2015Employment Separation After Allegations
October 2014Customer Dispute
March 2014Customer Dispute
October 2011Customer Dispute
July 2010Customer Dispute
March 2007Customer Dispute
January 2002Customer Dispute
September 2000Employment Separation After Allegations
June 1991Other Business Activities
Tom is a board member for both the Pacific Northwest Ballet and Seattle Opera, dedicating minimal time to each. He is also a Managing Director at Langley Pacific Partners, a financial services firm, which takes nearly full-time hours.
Employment History
Current Registrations
Peachcap Tax & Advisory, LLC
Previous Registrations
Peachcap Securities, INC.Broker
Kestra Private Wealth Services, LLC
Kestra Investment Services, LLCBroker
Washington Wealth Management
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations1 state
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.