Plenty Financial Ria, LLC

CRD#323767
Investment Advisor Firm

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Learn more about Plenty Financial Ria, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Plenty Financial Ria, LLC is located at 576 Sacramento Street, San Francisco, CA. The firm employs 1 financial advisor to manage client portfolios and provide financial guidance. Plenty Financial Ria, LLC is not a registered broker-dealer.

    Plenty Financial Ria, LLC oversees $5.0 million in assets under management across 89 accounts, all of which are discretionary. The firm offers financial planning services and operates on an asset-based fee structure. The firm caters to retail investors and high net worth investors, with retail investors being the largest client type by accounts. The firm has 1 high net worth client.

    Plenty Financial Ria, LLC is registered in the states of California, Florida, New York, Texas, and Washington.

    Assets Under Management

    $5.0 million

    Number of Advisors

    1

    Disclosures

    No

    Office Location

    576 Sacramento Street
    San Francisco, CA 94111

    Plenty Financial Ria, LLC by the Numbers

    Total Assets Under Management

    $5.0 million

    National Average: $8.6 billion
    Total Number of Employees

    5

    National Average: 64
    Total Number of Accounts

    89

    National Average: 375,227
    Average Account Size

    $55.9 thousand

    National Average: $23.0 thousand
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    Products and Services

    Services offered by Plenty Financial Ria, LLC include financial planning services. Notably, Plenty Financial Ria, LLC did not provide financial planning services to any of its accounts in the last fiscal year. The Firm does not sell products or offer services apart from investment advisory services to its investment advisory clients.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Find a firm that offers this service

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Financial management fees usually vary depending on the type of financial services provided. Fees charged by Plenty Financial Ria, LLC typically consist of the following fee structure: asset-based.The company does participate in a wrap fee program, in which the firm offers a bundle of services for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm provides services to retail investors and high net worth investors. Out of its 2 clients, Plenty Financial Ria, LLC's biggest client group by number of accounts is retail investors, although it also serves 1 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 1.14%
    • Other Individuals - 98.86%
    • Corporations - 0%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Plenty Financial Ria, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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