PERSONAL FINANCIAL PROFILES INC
Adviser information for PERSONAL FINANCIAL PROFILES INC last updated from Form ADV on February 12th, 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 | Florida, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 344 | $272.9M |
| Non-Discretionary | 6 | $866,990 |
| Total | 350 | $273.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 133 | $112.4M |
| HNW Individuals | 101 | $148.1M |
| 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 | 1 | $13.2M |
| 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 | 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 planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-78068 |
|---|---|
| SEC ERA File Number | 801-78068 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109327 |
| Legal Entity Identifier | None |
Principal Office
10100 W. SAMPLE ROADSUITE 201
CORAL SPRINGS
FL
United States
Monday - Friday, 9AM-5PM
Tel: 954-755-8647, Fax: 954-755-6863
Websites
Chief Compliance Officer
DAVID M. MAGGIO
PRESIDENT
1415 PANTHER LANE
SUITE 356
NAPLES
FL
United States
Tel:
(239) 598-9141
Fax:
(239) 598-9121
D******@*************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 |
|---|---|---|---|---|---|
| PUGLIESE, FRANK, THOMAS | Individual | – | CHAIRMAN-EMERITUS | 07/1991 | < 5% |
| MAGGIO, DAVID, MICHAEL | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 04/2013 | > 75% |