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PENNEY FINANCIAL
Legal name: PENNEY FINANCIAL, LLC
CRD 282084File 801-122353
APPROVED
Retail clients
Custody
Filing as of Mar 24, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$303.5M
Below cohort median (national)
Discretionary AUM
$303.5M
Clients
110
465 accounts
Employees
3
Below cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Sep 20, 2021
- Principal office
- 825 TOWN AND COUNTRY LANE, 12TH FL, HOUSTON, TX, 77024-4563
- Phone
- 713-300-5165
- Website
- HTTP://PENNEYFINANCIAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $303.5M
- Discretionary AUM
- $303.5M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 465
- Non-discretionary accounts
- 0
- Total accounts
- 465
- AUM per client
- $2.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 1 | $3.9M |
| High net worth individuals | 96 | $292.2M |
| Individuals (other than high net worth individuals) | 13 | $7.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.