{"url":"https://nivawealth.com/firms/preston-advisory-services-289926","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289926","regulatoryAum":197679341,"crd":"289926","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8263253","suffix":null,"lastName":"Castillo","firstName":"Anthony","middleName":"John"},{"crd":"3178664","suffix":null,"lastName":"PRESTON","firstName":"SCOTT","middleName":"DAVID"},{"crd":"7508129","suffix":null,"lastName":"SHUFFLER","firstName":"KELLY","middleName":"DAWN"},{"crd":"7280330","suffix":null,"lastName":"STIERS","firstName":"SHAY","middleName":"DEAN"}],"total":4,"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":"2025-05-01","regulatoryAum":146291985,"clients":1278,"employees":4,"offices":1},{"filedOn":"2026-05-25","regulatoryAum":197679341,"clients":2528,"employees":5,"offices":1}],"secFileNumber":"801-132449","legalName":"Preston Advisory Services LLC","displayName":"Preston Advisory Services","slug":"preston-advisory-services-289926","website":"https://prestoninvestments.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4345 Stockton Hill RD","city":"Kingman","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"86409"},"tradeNames":[],"registration":{"secApproved":"22 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":77760.25811559778,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":197679341,"discretionary":197679341,"discretionaryAccounts":2526,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2509,"regulatoryAum":173301588},{"label":"High-net-worth individuals","clients":17,"regulatoryAum":23120824},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":1151929},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":105000}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046122","versionId":1046122,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-05-25","documentName":"PRESTON ADVISORY SERVICES LLC PART 2 DISCLOSURE BROCHURE","fee_rate_low":0.5,"fee_rate_high":0.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:53:24.589102+00:00","documents":[{"name":"PRESTON ADVISORY SERVICES LLC PART 2 DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046122","versionId":1046122,"submittedOn":"2026-05-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":167390975},{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, VA","smaAssets":30288365}],"custodyNote":"Preston Advisory Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Scott Preston","title":"Managing Member/ Chief Compliance Officer","crd":"3178664"}],"ownership":[{"label":"Scott Preston","detail":"Managing member/ chief compliance officer in the 75% or more ownership band and a control person, since August 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"4345 Stockton Hill RD","city":"Kingman","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"928-757-1600","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":8},{"label":"Investment grade corporate bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":70},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"25 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289926/PDF/289926.pdf","brochureDate":"25 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046122","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Preston Advisory Services have?","answer":"Preston Advisory Services has 2,528 clients and manages $198 million for them, as of May 2026. They include 2,509 individual clients, 17 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Preston Advisory Services offer?","answer":"Preston Advisory Services provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Preston Advisory Services charge?","answer":"Preston Advisory Services charges 0.50% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.","source":"PRESTON ADVISORY SERVICES LLC PART 2 DISCLOSURE BROCHURE, filed 25 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Preston Advisory Services use?","answer":"Preston Advisory Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $167M and Capital Client Group, Inc. (Los Angeles, VA), with $30.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Preston Advisory Services have?","answer":"Preston Advisory Services has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are 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 Preston Advisory Services invest in?","answer":"At the end of its last fiscal year, Preston Advisory Services’ separately managed accounts held 70% registered funds (mutual funds, ETFs, BDCs), 17% exchange-traded equities, 8% U.S. government and agency bonds, 4% cash and equivalents, 1% investment grade corporate bonds and 1% high-yield corporate bonds.","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 Preston Advisory Services?","answer":"Preston Advisory Services’ direct owner is Scott Preston (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Preston Advisory Services get paid?","answer":"Preston Advisory Services is paid through a percentage of assets under management. 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 Preston Advisory Services?","answer":"Preston Advisory Services’ main office is at 4345 Stockton Hill RD, Kingman, AZ 86409. Its phone number is 928-757-1600. Its website is prestoninvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}