Paller Financial Services provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Paller Financial Services reports 161 clients. They include 113 individual clients, 43 high-net-worth individuals, and 3 corporations and other businesses. Of its assets, 100.0% ($148M across 453 accounts) are managed with discretion. It advised 159 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 70% | 24% |
| High-net-worth individuals | 27% | 75% |
| Pension and profit-sharing plans | 1% | 0% |
| Corporations and other businesses | 2% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 113 | $35.5M | 24.0% | $314K |
| High-net-worth individuals | 43 | $111M | 75.1% | $2.58M |
| Pension and profit-sharing plans | 2 | $0 | 0.0% | $0 |
| Corporations and other businesses | 3 | $1.4M | 0.9% | $466K |
| Total | 161 | $148M | 100% | $919K |
- Clients
- 113
- Regulatory AUM
- $35.5M
- AUM share
- 24.0%
- Avg. per client
- $314K
- Clients
- 43
- Regulatory AUM
- $111M
- AUM share
- 75.1%
- Avg. per client
- $2.58M
- Clients
- 2
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- $0
- Clients
- 3
- Regulatory AUM
- $1.4M
- AUM share
- 0.9%
- Avg. per client
- $466K
Total
- Clients
- 161
- Regulatory AUM
- $148M
- AUM share
- 100%
- Avg. per client
- $919K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 159
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Paller Financial Services is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Mark Paller owns 75% or more of Paller Financial Services. The leadership team of Paller Financial Services includes President Mark Paller and Chief Compliance Officer Jennifer McElderry. It has 6 employees, 4 of them in advisory roles.
Staff
- 6 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Paller Financial Services, Inc.
Mark Paller
Control person · since November 2000
Paller Financial Services’ regulatory assets grew from $126M (May 2024) to $148M (February 2026); clients were 161 in both filings and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Feb 2026February 2026 | $148M | 161 | 6 | 1 |
| Jan 2025January 2025 | $135M | 149 | 6 | 1 |
| May 2024May 2024 | $126M | 163 | 6 | 1 |
Besides its headquarters, Paller Financial Services has 0 offices, with 1 listed address in 1 state.
Colorado · 1 listed address
- 9000 E Nichols Avenue, Suite 120, CentennialHQ
Contact and registration details
- Legal name
- Paller Financial Services, Inc.
- Headquarters
- 9000 E Nichols Avenue, Suite 120, Centennial, CO 80112
- Website
- pallerfinancial.com
- Phone
- 303-858-0045
- @paller-financial-services
- SEC file
- 801-129389
- Structure
- Colorado corporation
- Fiscal year end
- December
Paller Financial Services’ named custodian for separately managed accounts is Charles Schwab ($148M). Paller Financial Services has custody of $3.39M for 3 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $148M100%
At year end, Paller Financial Services’ separately managed accounts were mostly in stocks (95%). Its reported 13F holdings for the quarter ended 30 June 2026 total $134M across 44 positions; the largest are Invesco Exchange Traded FD T (6.8%), ETF Ser Solutions (6.7%) and Vaneck ETF Trust (4.7%).
What the accounts hold
- Stocks95%
- Cash4%
- Other1%
- Certificates of deposit, real estate1%
How many clients does Paller Financial Services have?
Paller Financial Services has 161 clients and manages $148 million for them, as of February 2026. They include 113 individual clients, 43 high-net-worth individuals, and 3 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 February 2026
What services does Paller Financial Services offer?
Paller Financial Services provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Paller Financial Services use?
Paller Financial Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $148M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 February 2026
How many financial advisors does Paller Financial Services have?
Paller Financial Services has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Paller Financial Services invest in?
At the end of its last fiscal year, Paller Financial Services’ separately managed accounts held 95% exchange-traded equities, 4% cash and equivalents and 1% other. The 1% other category is described as: Certificates of Deposit, Real Estate.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Paller Financial Services?
Paller Financial Services’ direct owner is Mark Paller (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 3 February 2026
How does Paller Financial Services get paid?
Paller Financial Services is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Paller Financial Services?
Paller Financial Services’ main office is at 9000 E Nichols Avenue, Suite 120, Centennial, CO 80112. Its phone number is 303-858-0045. Its website is pallerfinancial.com.
