{"url":"https://nivawealth.com/firms/plotkin-financial-advisors-127635","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127635","regulatoryAum":255869623,"crd":"127635","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5083311","suffix":null,"lastName":"IMPHONG","firstName":"ERICH","middleName":"MICHAEL"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":180378106,"clients":219,"employees":7,"offices":2},{"filedOn":"2022-07-15","regulatoryAum":206541545,"clients":352,"employees":5,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":162905695,"clients":338,"employees":5,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":174914111,"clients":201,"employees":5,"offices":2},{"filedOn":"2025-03-24","regulatoryAum":221845374,"clients":355,"employees":4,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":255869623,"clients":319,"employees":4,"offices":2}],"secFileNumber":"801-85168","legalName":"Plotkin 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Plotkin Financial Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Plotkin Financial Advisors charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Plotkin Financial Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Plotkin Financial Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Plotkin Financial Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Plotkin Financial Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Plotkin Financial Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Plotkin Financial Advisors registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Plotkin Financial Advisors?","answer":"Plotkin Financial Advisors’ main office is at 8401 Connecticut Avenue, Suite 401, Chevy Chase, MD 20815-5833. Its phone number is 301-907-9790. 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