Wealth manager, independent · Dennis, MA
Pearson Financial Services
Pearson and Associates, LLC · SEC-registered investment adviser · CRD 130143 · SEC 801-137077
At a glance
Pearson Financial Services is an SEC-registered investment adviser based in Dennis, Massachusetts, with $885 million in regulatory assets under management as of its Form ADV filed August 17, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 500 individual clients. By Form ADV it is a wealth manager, ranked 1,743rd of 8,915 wealth managers and 5,772nd of 17,210 SEC-registered advisers by assets.
Main office 508-385-7925spearsonfinancial.comAs filed on Form ADV
- Regulatory AUM
- $885M
- Rank among wealth managers
- #1,743 of 8,915
- Rank among all SEC RIAs
- #5,772 of 17,210
- Rank in Massachusetts
- #305 of 627
- Individual clients
- 500
- High-net-worth clients
- 275
- Accounts
- 1,921
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 3
- Offices
- 2
Owners and executives on its Form ADV
- Bryan W. BastoniMember
- Coral A. MurphyMember/operations Manager/chief Compliance Officer
- Kathleen FowlerMember
Custody and brokerage
Broker-dealer
Hybrid RIA
Pearson Financial Services is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names Purshe Kaplan Sterling Investments, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Additionally, some of the Advisory Representatives of Pearson Financial are dually registered as a Registered Representative of Purshe Kaplan Sterling Investments ("PKS").
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 275 | $700M | 79% |
| Individuals | 225 | $185M | 21% |
Disciplinary disclosures
Pearson Financial Services reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗spearsonfinancial.com ↗
AtlasMembers
The full record on Pearson Financial Services
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff from each filing
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- Growth over one, three and five years
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- Rank against 3,835 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pearson Financial Services manage?
Pearson Financial Services reports $885 million in regulatory assets under management across 1,921 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 17, 2026.
What kind of firm is Pearson Financial Services?
Pearson Financial Services is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Pearson Financial Services’s clients?
By assets, its largest client types are high-net-worth individuals ($700 million, 275 clients); individuals ($185 million, 225 clients).
Does Pearson Financial Services have any disciplinary history?
Pearson Financial Services reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Pearson Financial Services’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →