{"url":"https://nivawealth.com/firms/paller-financial-services-161531","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161531","regulatoryAum":147888846,"crd":"161531","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8200141","suffix":null,"lastName":"McElderry","firstName":"Jennifer","middleName":null},{"crd":"2889293","suffix":null,"lastName":"PALLER","firstName":"MARK","middleName":"RANDALL"},{"crd":"8200253","suffix":null,"lastName":"White","firstName":"Jamison","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-05-13","regulatoryAum":126000000,"clients":163,"employees":6,"offices":1},{"filedOn":"2025-01-09","regulatoryAum":135000000,"clients":149,"employees":6,"offices":1},{"filedOn":"2026-02-03","regulatoryAum":147888846,"clients":161,"employees":6,"offices":1}],"secFileNumber":"801-129389","legalName":"Paller Financial Services, Inc.","displayName":"Paller Financial Services","slug":"paller-financial-services-161531","website":"https://pallerfinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/161531/42693e474a8ba1cd-r1.webp","tone":"dark","width":1250,"height":200,"sourceUrl":"https://www.pallerfinancial.com/","sourceLabel":"Paller Financial Services, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/paller-financial-services/posts/?feedView=all","founded":null,"organization":"Colorado corporation","fiscalYearEnd":"December","headquarters":{"street":"9000 E Nichols Avenue, Suite 120","city":"Centennial","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80112"},"tradeNames":[],"registration":{"secApproved":"14 May 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":939049.6217948718,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":147888846,"discretionary":147888846,"discretionaryAccounts":453,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":159},"clientTypes":[{"label":"Individuals (other than HNW)","clients":113,"regulatoryAum":35473016},{"label":"High-net-worth individuals","clients":43,"regulatoryAum":111018725},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":3,"regulatoryAum":1397105}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:29:35.986303+00:00","documents":[{"name":"PALLER FINANCIAL SERVICES, INC. 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Paller Financial Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Paller Financial Services use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Paller Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Paller Financial Services invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Paller Financial Services?","answer":"Paller Financial Services’ direct owner is Mark Paller (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Paller Financial Services get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Paller Financial Services?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/paller-financial-services-161531/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-07","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2095931/000209593126000005/0002095931-26-000005-index.html","totalValue":133761367,"positionCount":44,"top10Share":0.4525170634657165,"top10":[{"issuer":"INVESCO EXCHANGE TRADED FD T","titleOfClass":"DORSEY WRGT TECH","cusip":"46137V811","value":9033400,"shares":66271,"shareType":"SH","priorValue":6437083,"priorShares":74568},{"issuer":"ETF SER SOLUTIONS","titleOfClass":"DEFIA QUANT ETF","cusip":"26922A420","value":9023362,"shares":54561,"shareType":"SH","priorValue":6352712,"priorShares":59205},{"issuer":"VANECK ETF TRUST","titleOfClass":"MRNGSTR WDE 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}