We do not have an initial, or starting minimum account size, but it should be noted that for our strategies to function properly the recommended initial, or starting, minimum account size is $250,000 of assets under management.

Our in-house designed strategies were created to take the emotion out of the equation and apply a disciplined approach to investing. Some people are very successful trading on instinct; we find a logical and technical approach to be best suited for our style. The combination of the strategies makes for balanced portfolios that can be tailored to each individual client’s needs.

No, we do not sell any financial products. We charge a fee based on assets, thus eliminating any incentive to sell the client any specific product. Our goal is to advise and invest in the best interest of the client. If clients are in need of an insurance policy, estate planning, or a tax professional etc. we are happy to connect clients with the correct financial professionals and institutions.

Yes, given that we do not provide these services, we are accustomed to dealing with other financial institutions

As defined by the Internal Revenue Code, a qualified plan is an employer-sponsored retirement plan that qualifies for special treatment.

As an Investment Advisory and Money Management firm we have a multitude of strategies all designed in house which we tailor to each client’s needs and wants. More information on our strategies and investment philosophy can be found on the strategies page.

We utilize our in house strategies, each strategy utilizes predetermined objectives to identify opportunities in the market. More information can be found on the Strategies page.

We provide quarterly statements which include balances, contributions, withdrawals, ending balances, and performance. Since we do not house the securities, the custodian (primarily Schwab Institutional) will provide monthly statements. Additionally the client can always view their portfolio through the custodians’ website.

Yes, through the custodian you will always be able to look at your accounts, once you have set up your log in credentials by creating a user name and password.

The majority of our accounts are housed at Schwab Institutional. Carl F. Petersen Inc. is specifically not a custodian and therefore does not take custody of the accounts; this ensures an extra level of protection to the client. Using a limited power of attorney, Carl F. Petersen Inc. is able to trade on behalf of the client but does not, at any point in time, take ownership or control of the accounts.

We do not require the client to sign any contracts binding them to our services. Clients are allowed to terminate our services at any time. Specific situations may require time to liquidate positions.

A Fiduciary duty is the highest standard of care, and all Investment advisors at Carl F. Petersen are held to the Fiduciary standard. As a fiduciary the advisor is required by law to act within the best interest of the client. Not all investment professionals are held to this standard. We strongly recommend everyone to make sure their financial professionals are a fiduciary, even if it is not us.

Aside from traveling for face-to-face meetings, we utilize all of the modern conveniences granted to us by technology. Through effective use of telephones, e-mail, faxes, texts, and social media we are constantly keeping up and communicating with all of our clients.

Absolutely not, it is completely illegal for any Registered Investment Advisor to do so. We do our best to monitor market conditions and strive to match our strategies historical performance, but would never guarantee any future returns.

Please call us at 1.800.646.1237 or email us at info@carlfpetersen.com.

The first step must be an inquiry from you, the prospective client. Contact us by phone or email and we will set up an introductory meeting.