COMMONWEALTH FINANCIAL PLANNERS INC
Adviser information for COMMONWEALTH FINANCIAL PLANNERS INC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $9.0M |
| Non-Discretionary | 307 | $171.3M |
| Total | 311 | $180.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 69 | $26.2M |
| HNW Individuals | 62 | $138.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $11.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $4.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112991 |
|---|---|
| SEC ERA File Number | 801-112991 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106831 |
| Legal Entity Identifier | None |
Principal Office
1033 CANTON STREETROSWELL
GA
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 770-399-6644, Fax: 770-399-5386
Chief Compliance Officer
MICHAEL AGURKIS
PRESIDENT
1033 CANTON STREET
ROSWELL
GA
United States
Tel:
770-399-6644
Fax:
770-399-5386
M**************@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AGURKIS, MICHAEL, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER/PRESIDENT/CORP SECRETARY | 09/2019 | > 75% |