Phoenix Financial Engineering, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$12,500,000
Clients
26
15% 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
26
TypicalAverage account size
$480,769
About
Phoenix Financial Engineering, LLC provides fee‑based financial planning and non‑discretionary investment management to individuals, high‑net‑worth clients, and small businesses. Like many independent advisers, the firm delivers portfolio management for individuals and charges asset‑based advisory fees while not acting as custodian.
The firm constructs portfolios and written investment policy statements tailored to each client’s goals, time horizon, and risk tolerance, using both fundamental and technical analysis and employing strategies from long‑term holdings to short‑term trades and option writing. Account reviews are performed at least quarterly (and more often as market conditions dictate), financial planning is offered on an hourly or fixed‑fee basis, and the firm also holds public seminars and workshops that are educational and free to attend.
Noteworthy aspects include the firm’s small, solo‑practitioner scale—one advisor serving a limited client base with roughly $13 million under management—and the advisor’s active academic roles as an adjunct professor, which contribute to the firm’s emphasis on educational outreach. The adviser operates on a non‑discretionary basis, does not vote client proxies, and participates in a national custodian program that provides third‑party services to the firm (a potential source of conflicts disclosed in the brochure).
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General tax planning
Options & derivatives strategies
Fee options
Fixed fees ranging between $1,500 and $2,500 for financial planning
1% annual fee
$185 per hour
Fee-only: Hourly fee of $185 per hour; fixed fees ranging from $1,500 to $2,500 based on plan complexity
Main office location
Phoenix Financial Engineering, LLC
Baltimore MD, United States
Number of offices
1
Most active in
Phoenix Financial Engineering, LLC has reported serving >5 clients in these states in the last 12 months.
Maryland
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.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")