Pioneer Financial, Inc.
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 137940
· South Hadley, MA
· WWW.PIONEERADVISOR.COM
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ADV data as of Mar 07, 2022
- Regulatory AUM
- $7.7M
- Discretionary
- $7.7M
- Clients
- 94
- Avg AUM / client
- $81.5K
- Accounts
- 122
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 93 | $7.5M | 98.4% |
| State or municipal government entities | 1 | $126K | 1.65% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward G. Wall | Registered representative | Nov 2005 (21y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/07/2022 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Folio Investments, Inc. $4.8M (63% of AUM) Mar 2022
- Fidelity Brokerage Services $900K (12% of AUM) Mar 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 07, 2022.
View current Form ADV (SEC/IAPD) ↗