PLOTKIN FINANCIAL ADVISORS, LLC
Adviser information for PLOTKIN FINANCIAL ADVISORS, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 642 | $174.9M |
| Non-Discretionary | 0 | $0 |
| Total | 642 | $174.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 135 | $44.3M |
| HNW Individuals | 66 | $130.1M |
| 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 | <5 | $547,908 |
| 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 | 1 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsRETIREMENT PLAN CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesPERCENTAGE OF RETIREMENT PLAN ASSETS |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 174.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PLOTKIN FINANCIAL ADVISORS WRAP FEE PROGRAM | PLOTKIN FINANCIAL ADVISORS, LLC |
Principal Office
8401 CONNECTICUT AVENUESUITE 400
CHEVY CHASE
MD
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 301-907-9790, Fax: 301-907-9793
Chief Compliance Officer
KRISTI MURPHY
EXECUTIVE VP- CLIENT OPERATIONS
8401 CONNECTICUT AVENUE
SUITE 400
CHEVY CHASE
MD
United States
Tel:
301-907-9790
Fax:
301-907-9793
K******@*********M
(Full email address available in API data)
Regulatory Contact
ERICH IMPHONG
PRESIDENT
8401 CONNECTICUT AVENUE
SUITE 400
CHEVY CHASE
MD
United States
Tel:
301-907-9790
Fax:
301-907-9793
E*******@*********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 |
|---|---|---|---|---|---|
| MURPHY, KRISTI, LEIGH | Individual | – | CHIEF COMPLIANCE OFFICER/EXECUTIVE VP- CLIENT OPERATIONS | 05/2021 | < 5% |
| IMPHONG, ERICH, MICHAEL | Individual | – | PRESIDENT | 01/2024 | < 5% |
| OCEANVIEW CONSULTANTS, LLC | Domestic Entity | – | OWNER | 01/2024 | > 75% |
| IMPHONG, ERICH, MICHAEL | Individual | OCEANVIEW CONSULTANTS, LLC | OWNER | 01/2024 | > 75% |
| Ginn, Betsy | Individual | OCEANVIEW CONSULTANTS, LLC | OWNER | 01/2024 |