Back Bay Financial Planning & Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$106,738,122
Total clients
86
44% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
86
Average account size
$1,241,141
About
Back Bay Financial Planning & Investments provides investment management and project‑based financial planning to individual and high‑net‑worth clients. The firm offers discretionary portfolio management across stocks, bonds, mutual funds, ETFs and cash, and generally charges percentage‑of‑assets fees while not imposing a firm minimum account size.
The firm’s investment process blends fundamental, technical, and cyclical analysis within a Modern Portfolio Theory framework to establish asset‑allocation targets, and it uses both active and passive vehicles as well as socially conscious options when requested. BBFPI routinely recommends Outside Managers through platforms such as Orion Communities and the Schwab Marketplace and discloses a sub‑advisory relationship with an unaffiliated firm to implement box‑spread options strategies for lending when appropriate.
Noteworthy for a small, recently established adviser managing roughly $106 million in client assets, the firm has disclosed a shift in services — removing ongoing financial planning in favor of project‑based engagements and indicating it may now recommend fee‑based annuities. Clients should also expect that the firm will act as the primary advisor even when engaging outside managers and that certain third‑party model and options‑lending arrangements play a larger role in portfolio implementation than is typical for peers of similar size.
Client services
Financial planning
Portfolio management
Selection of other advisers
Fee options
Fixed fees for project-based financial planning range from $2,000 to $5,000.
$0 - $500,000: 1.25% $500,001 - $1,500,000: 0.75% $1,500,001 - $3,000,000: 0.65% $3,000,001+: 0.50%
$400 per hour for project-based financial planning.
Fee-only: Investment management and financial planning fees only; no commissions received by the firm.
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Main office location
Back Bay Financial Planning & Investments
39682 Sunrise Court #303
Bethany Beach DE 19930, United States
Number of offices
2
Forms ADV
Quick links
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