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PEARSON FINANCIAL SERVICES
Legal name: PEARSON AND ASSOCIATES, LLC
CRD 130143File 801-137077
APPROVED
Retail clients
Filing as of Aug 17, 2026
Feed vintage Oct 15, 2026
Regulatory AUM
$885.0M
Above cohort median (national)
Discretionary AUM
$885.0M
Clients
500
1,921 accounts
Employees
8
Above cohort median in MA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 21, 2026
- Principal office
- 586 MAIN ST, DENNIS, MA, 02638
- Phone
- 508-385-7925
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $885.0M
- Discretionary AUM
- $885.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,921
- Non-discretionary accounts
- 0
- Total accounts
- 1,921
- AUM per client
- $1.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 275 | $700.0M |
| Individuals (other than high net worth individuals) | 225 | $185.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 23, 2026 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PEARSON FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PEARSON FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.