Exeter Financial, LLC

RIASEC Registered
Total AUM
$420M
Discretionary
$418M
99% of AUM
Avg account
$606K
Accounts
693
Employees
6
Advisory reps
5

Firm details

Headquarters
Scottsdale, Arizona
CRD number
143420
Registered since
April 5, 2007
Website
exeterfinancial.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI78.88%
  • Individuals19.86%
  • Charitable Organizations0.91%
  • Pension & Profit Sharing Plans0.35%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Exeter Financial, LLC operates as an independent registered investment adviser (SEC-registered in 2007) organized as an LLC. The firm serves individual and family clients and acts as a capital allocator, offering financial planning, portfolio management for individuals and small businesses, and manager selection services. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee options. Exeter also operates as an insurance broker and maintains an affiliation with an insurance company. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 55%, Public Funds/Mutual Funds 35%, State & Local Bonds 6%, Cash & Cash Equivalents 2%, Non-Exchange Traded Equities 1%, Other 1%55%
  • Exchange Traded Equities55%
  • Public Funds/Mutual Funds35%
  • State & Local Bonds6%
  • Cash & Cash Equivalents2%
  • Non-Exchange Traded Equities1%

Contacts

3 of 5
  • Christopher Klein

    Christopher Klein

    Senior Financial PlannerCRD 5847156

  • Kurt Gusinde

    Kurt Gusinde

    Managing DirectorCRD 874199

  • Peter Helms

    Peter Helms

    OwnerCRD 3048228

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 25

Active vs passive

$78.5M in ETFs

Passive

34%

$26.6M

Active

66%

$51.9M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES ULTRA SHORT DURATION BOND ACTIVE ETF (ICSH)BlackRockActiveUltrashort Bond$14.9M295,55818.98%
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Location

Primary office

Scottsdale, AZ

Maricopa

Location

Scottsdale, AZ

Headquartered in Scottsdale, AZ, anchoring the Phoenix-Mesa, AZ metro in the West.

Metro area
Phoenix-Mesa, AZ
Region
West
County
Maricopa
Address
7001 N Scottsdale Rd
Time zone
MT (UTC-7)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth