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Peter Helms

Exeter Financial, LLC
27 Years of Experience
Scottsdale, AZ
1 Disclosure
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Peter Helms is a registered investment advisor at Exeter Financial, LLC, based in Scottsdale, AZ, with 27 years of industry experience. Peter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 88 clients with $420M in assets under management.

Exeter Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
88 clients
Average Client Portfolio
$4.8M average
Assets Under Management
$420.2M

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.25%

Maximum annual fee is 1.25%. Fees are negotiable and account minimums or fee rates may be reduced at Alkeme Wealth's discretion.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7001 N. Scottsdale Road, Suite 1040, Scottsdale, AZ, 85253-3644

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History

Regulatory History (1)
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Customer Dispute
September 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Peter is a managing member/consultant at H2Global LLC, a business consulting firm, dedicating minimal time. He is also the co-founder/CEO of Zipsit, Inc., a technology company, spending a few hours per week on conference calls and meetings.

Employment History
Current Registrations
Exeter Financial, LLC
April 2007 - Present · 19 yrs 6 mos
Previous Registrations
Bma Securities, LLCBroker
February 2008 - December 2016 · 8 yrs 10 mos
The Shemano Group, INC.Broker
May 2007 - February 2008 · 9 mos
Ogilvie Security Advisors CorporationBroker
October 2006 - May 2007 · 7 mos
Ogilvie Security Advisors CORP
October 2006 - May 2007 · 7 mos
Fbr Investment Management, INC.
April 2005 - October 2006 · 1 yr 6 mos
Friedman, Billings, Ramsey & CO., INC.Broker
April 2005 - October 2006 · 1 yr 6 mos
Banc of America Investment Services, INC.
January 2003 - April 2005 · 2 yrs 3 mos
Banc of America Investment Services, INC.Broker
January 2003 - April 2005 · 2 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1998 - March 2002 · 3 yrs 10 mos
State Registrations1 state
AZ
Advisor

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
No exam information available for this advisor.
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