PLENTY FINANCIAL RIA, LLC
Adviser information for PLENTY FINANCIAL RIA, LLC last updated from Form ADV on March 25th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 89 | $5.0M |
| Non-Discretionary | 0 | $0 |
| Total | 89 | $5.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $3.7M |
| HNW Individuals | <5 | $1.2M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planning |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PLENTY FINANCIAL RIA WRAP FEE PROGRAM | PLENTY FINANCIAL RIA, LLC |
Identifiers
| SEC RIA File Number | 801-126890 |
|---|---|
| SEC ERA File Number | 801-126890 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323767 |
| Legal Entity Identifier | None |
Principal Office
576 SACRAMENTO STREETFLOOR 6
SAN FRANCISCO
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 628-333-3863, Fax: None
Chief Compliance Officer
EMILY LUK
CEO
576 SACRAMENTO STREET
FLOOR 6
SAN FRANCISCO
CA
United States
Tel:
628-202-2883
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 |
|---|---|---|---|---|---|
| Luk, Emily, Win-Yan | Individual | PLENTY FINANCIAL, INC. | OWNER | 01/2022 | 25-50% |
| PLENTY FINANCIAL, INC. | Domestic Entity | – | OWNER | 09/2022 | > 75% |
| Luk, Emily, Win-Yan | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| Allen, Christopher, Channing | Individual | – | CHIEF TECHNOLOGY OFFICER | 09/2022 | < 5% |