Pettigrew Financial Corporation (Ventura)


Pettigrew Financial Corporation is an adviser based in Ventura. It manages $25.2 million of regulatory assets for 84 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

Pettigrew Financial Corporation provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pettigrew Financial Corporation: assets under management

The assets under management (AUM) of Pettigrew Financial Corporation is $25.2 million. The firm's AUM has gone down by -30% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $22.87 million in discretionary accounts and $2.34 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $285.87 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $583.86 thousand.
Pettigrew Financial Corporation has custody of $6.28 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pettigrew Financial Corporation for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Pettigrew Financial Corporation

Kathryn Dirickson Moser has been acting as President since 1 May 1993. Sarah Virginia Moser joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Robert Moser President 1 Jul 1984 75% - 100% 2734820
Robert Pettigrew Moser President/director/chief compliance officer 1 Jul 1984 75% - 100% 2734820
Kathryn Dirickson Moser Director 1 May 1993 Other 4353632
Nancy Pringle Moser Director 1 May 1993 Other 4353636
Kathryn Ann Moser Director 1 Jun 1994 Other 4353637
Sarah Virginia Moser Director 1 Oct 1997 Other 4353641

Based in Ventura

The principal office where Pettigrew Financial Corporation performs its advisory services is located at 310 South Wells Road, Ventura, CA 93004 The mailing address of the firm is P.O. Box 4697, Ventura, CA 93007. An additional office of the firm is in Santa Paula, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 916-596-9915 or by fax 916-583-7566. The normal business hours are by appointment only on Monday - Friday.