Plotkin Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 11–25 clients last fiscal year.
Plotkin Financial Advisors reports 319 clients. They include 203 individual clients and 116 high-net-worth individuals. Of its assets, 100.0% ($256M across 710 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $248M. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 64% | 23% |
| High-net-worth individuals | 36% | 77% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 203 | $59.4M | 23.2% | $292K |
| High-net-worth individuals | 116 | $196M | 76.5% | $1.69M |
| Pension and profit-sharing plans | Fewer than 5 | $677K | 0.3% | — |
| Total | 319 | $256M | 100% | — |
- Clients
- 203
- Regulatory AUM
- $59.4M
- AUM share
- 23.2%
- Avg. per client
- $292K
- Clients
- 116
- Regulatory AUM
- $196M
- AUM share
- 76.5%
- Avg. per client
- $1.69M
- Clients
- Fewer than 5
- Regulatory AUM
- $677K
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 319
- Regulatory AUM
- $256M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Plotkin Financial Advisors charges 1.00%–1.10% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Consultation services
- Consultation fees are negotiable, typically $400 to $500 per hour, or a flat rate agreed in writing before service begins.
- Defined contribution plan services
- Plan advisory fee of 0.40% to 0.50% of plan assets annually, negotiable and paid quarterly in advance to the plan's third-party administrator.
- Standalone financial planning
- Standalone financial planning is $1,000 for the initial plan and $800 annually for updates, with 50% of the initial fee due upfront.
Oceanview Consultants, LLC owns 75% or more of Plotkin Financial Advisors and is in turn owned by Erich Imphong (75% or more). The leadership team of Plotkin Financial Advisors includes President Erich Imphong and Chief Compliance Officer Kristi Murphy. It has 4 employees, 3 of them in advisory roles.
Leadership
- Erich ImphongPresident
- Kristi MurphyChief Compliance Officer/Executive VP- Client Operations
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
- Erich Michael Imphong
Staff
- 4 employees
- 3 in advisory functions
- 1 state-registered rep
- 2 broker-dealer reps
- 1 insurance agent
- 3 soliciting firms
- Owns 75% or more of Plotkin Financial Advisors, LLC
Oceanview Consultants, LLC
Control person · since January 2024
- Owns 75% or more of Oceanview Consultants, LLC
Erich Imphong
Control person · since January 2024
Betsy Ginn
Owner · since January 2024
Plotkin Financial Advisors’ regulatory assets grew from $180M (March 2021) to $256M (March 2026); clients rose from 219 to 319 and employees fell from 7 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $256M | 319 | 4 | 2 |
| March 2025 | $222M | 355 | 4 | 1 |
| March 2024 | $175M | 201 | 5 | 2 |
| March 2023 | $163M | 338 | 5 | 2 |
| July 2022 | $207M | 352 | 5 | 2 |
| March 2021 | $180M | 219 | 7 | 2 |
Besides its headquarters, Plotkin Financial Advisors has 1 office, with 2 listed addresses in Maryland.
Maryland · 2 listed addresses
- 8401 Connecticut Avenue, Suite 401, Chevy ChaseHQ
- 11225 Dovedale CT., Marriottsville
Other business names
Plotkin Financial Advisors has reported 2 other business names to the SEC.
- Peakstone Financial Advisors, LLC
- Plotkin Retirement Advisors, LLC
Contact and registration details
- Legal name
- Plotkin Financial Advisors, LLC
- Headquarters
- 8401 Connecticut Avenue, Suite 401, Chevy Chase, MD 20815-5833
- Website
- pfallc.com
- Phone
- 301-907-9790
- @1531373
- SEC file
- 801-85168
- Founded
- 2003
- Structure
- Maryland LLC
- Fiscal year end
- December
Plotkin Financial Advisors uses Charles Schwab ($248M) as custodian for its separately managed accounts. Plotkin Financial Advisors has custody of $135M in client assets for 188 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $248M100%
At year end, Plotkin Financial Advisors’ separately managed accounts were mostly in funds (75%) and stocks (20%). Its reported 13F holdings for the quarter ended 30 June 2026 total $241M across 110 positions; the largest are Vanguard Total Stock Market ETF (9.5%), Vaneck Semiconductor ETF (9.1%) and Invesco Qqq Trust Series I (7.2%).
What the accounts hold
- Stocks20%
- Funds75%
- Bonds1%
- Cash2%
- Other2%
- Non traded reits2%
Reported 13F holdings
- $241M
- Reported 13F value
- 110
- Positions
- 54.8%
- In the 10 largest
- +21.0%
- Value vs. prior quarter
- Vanguard Total Stock Market ETFETF9.5%
- Vaneck Semiconductor ETFETF9.1%
- Invesco Qqq Trust Series IETF7.2%
- First Trust Rising Dividend Achievers ETFETF6.5%
- First Trust Nasdaq Cybersecurity ETFETF4.5%
- Vanguard Dividend Appreciation ETFETF4.3%
- Apple Inc.3.5%
- First Trust Multi Cap Growth Alphadex FundETF3.5%
- JPMORGAN Ultra-short Income ETFETF3.5%
- State Street SPDR S&P 500 ETFETF3.4%
Together, the ten largest are 54.8% of reported value.
How many clients does Plotkin Financial Advisors have?
Plotkin Financial Advisors has 319 clients and manages $256 million for them, as of March 2026. They include 203 individual clients and 116 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026
What services does Plotkin Financial Advisors offer?
Plotkin Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Plotkin Financial Advisors charge?
Plotkin Financial Advisors charges 1.00%–1.10% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.
Source: PEAKSTONE FINANCIAL ADVISORS BROCHURE, filed 27 March 2026
Which custodians does Plotkin Financial Advisors use?
Plotkin Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $248M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026
How many financial advisors does Plotkin Financial Advisors have?
Plotkin Financial Advisors has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Plotkin Financial Advisors invest in?
At the end of its last fiscal year, Plotkin Financial Advisors’ separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 2% cash and equivalents, 2% other and 1% U.S. government and agency bonds. The 2% other category is described as: Non Traded Reits.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Plotkin Financial Advisors?
Plotkin Financial Advisors is owned through a holding company by Erich Imphong. Its direct owner is Oceanview Consultants, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 March 2026
How does Plotkin Financial Advisors get paid?
Plotkin Financial Advisors is paid through a percentage of assets under management, hourly charges and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Plotkin Financial Advisors registered with the SEC?
Yes, Plotkin Financial Advisors has been registered with the SEC as an investment adviser since 13 April 2015. Its CRD number is 127635 and its SEC file number is 801-85168.
Source: Form ADV Part 1A, Item 1, filed 27 March 2026; IAPD firm record
How do I contact Plotkin Financial Advisors?
Plotkin Financial Advisors’ main office is at 8401 Connecticut Avenue, Suite 401, Chevy Chase, MD 20815-5833. Its phone number is 301-907-9790. Its website is pfallc.com.