FRANK FINANCIAL ADVISORS
FRANK FINANCIAL SERVICES Legal Name
Adviser information for FRANK FINANCIAL ADVISORS last updated from Form ADV on January 24th, 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 | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 444 | $135.2M |
| Non-Discretionary | 12 | $8.1M |
| Total | 456 | $143.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 93 | $26.8M |
| HNW Individuals | 43 | $115.7M |
| 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 | 0 | $0 |
| 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 | 5 | $768,812 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121668 |
|---|---|
| SEC ERA File Number | 801-121668 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 147537 |
| Legal Entity Identifier | None |
Principal Office
2710 LOKER AVENUE WESTSUITE 230
CARLSBAD
CA
United States
Monday - Friday, 7:00 AM TO 3:30 PM
Tel: 760-438-3360, Fax: 760-438-3301
Websites
www.facebook.com/frankfinancialadvisors
plus.google.com/+frankfinancialadvisorscarlsbad
m.youtube.com/channel/ucwmdhigcyaiaxm8ue48rf81
www.linkedin.com/frank-financial-services
www.twitter.com/frankadvisor
www.frankfinancialadvisors.com
www.frankfinancial.net
yelp.com/biz/frank-financial-advisors-carlsbad
Chief Compliance Officer
TODD FRANK
PRESIDENT
20445 FORTUNA DEL SUR
ELFIN FOREST
CA
United States
Tel:
760-822-4360
Fax:
760-761-4848
T***@*************************M
(Full email address available in API data)
Regulatory Contact
CINDI HILL
COMPLIANCE CONSULTANT
1286 UNIVERSITY AVENUE
#206
SAN DIEGO
CA
United States
Tel:
619-795-5986
C****@***************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 |
|---|---|---|---|---|---|
| FRANK, TODD, EVAN | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/2003 | > 75% |