Frank Finances LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,400,000
Clients
24
4% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
24
TypicalAverage account size
$308,333
About
Frank Finances provides financial planning, investment management, educational seminars/workshops, and qualified plan and pension consulting to individuals, families, trusts, businesses, charities, and retirement plans. As of 12/31/2025 the firm reported $7.4 million in non-discretionary assets under management and serves both individual and plan clients.
The firm emphasizes strategic asset allocation and constructs proprietary model or custom portfolios, with an investment process that blends fundamental, technical, quantitative and qualitative analysis. It typically operates on a non-discretionary basis—delivering quarterly trade recommendations that clients implement themselves—while also offering discretionary management when agreed.
Compared with many independent advisers, Frank Finances is unusual in that most of its AUM is non-discretionary and it offers firm-led educational seminars and pension consulting services, each of which is relatively uncommon among peers. The firm also provides retirement-plan fiduciary services under ERISA (including investment policy statements and plan-level advice) and maintains a small client base, which aligns its practice toward consultative, advice-focused engagements.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Options & derivatives strategies
Fee options
Financial planning fees start at $1,000 per individual and do not exceed $3,000 per individual; $250 per additional investment account after two; $1,000 for business ownership, assets over $1,000,000 or income over $250,000 (each)
$1 - $1,000,000: $2,500 annually ($625 per quarter) fixed fee $1,000,001 - $2,000,000: $4,500 annually ($1,125 per quarter) fixed fee Over $2,000,000+: $6,500 annually ($1,625 per quarter) fixed fee
$300/hour for hourly planning assistance
Minimum fee: Investment advisory fixed annual fees start at $2,500 annually for $1 - $1,000,000 in AUM Fee-only: Firm is fee-only; receives no commissions or performance-based fees.
Main office location
Frank Finances LLC
New York NY, United States
Number of offices
1
Most active in
Frank Finances LLC has reported serving >5 clients in these states in the last 12 months.
California · New York · Texas
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:
-
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.
Forms ADV
Quick links
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