Plumb Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,361,511
Clients
42
0% 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
42
HighAverage account size
$246,703
About
Plumb Financial provides personalized investment advisory and financial planning services to individuals, trusts, estates, charitable organizations, and business entities, including portfolio management, cashflow and income planning, Social Security optimization, and insurance planning. The firm also offers public educational seminars and workshops at no charge and prepares written financial plans and ongoing consulting for clients.
The firm tailors advice through a structured discovery and needs‑analysis process and typically implements strategies using mutual funds, ETFs, individual securities, annuity sub‑accounts, and model portfolios available on the AssetMark platform and through third‑party asset managers. Management is provided on a non‑discretionary basis with regular strategy reviews and quarterly performance reports prepared via the platform’s reporting tools.
What distinguishes Plumb Financial from many peers is its dual role as both an investment advisor and licensed insurance agent, with insurance recommendations focused on fixed and indexed annuities, life, health, long‑term care, and disability products that are sold through insurer commissions. The firm also highlights coaching and educational services aimed at younger clients on the cusp of needing comprehensive planning, alongside the uncommon practice of offering free public workshops.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Social Security optimization
Annuities
Debt management
Cash flow / budgeting
Planning for children with special needs
Occupation focus
Founder/Business Owner
Demographic focus
Young Professionals
Fee options
$0 - $250,000: 1% $250,001 - $500,000: 1% $500,001 - $1,000,000: 0.85% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $3,000,000: 0.65% $3,000,001 - $5,000,000: 0.55% $5,000,001+: 0.55%
Insurance contracts paid by commissions from issuing insurance companies; commission rates set by insurance companies and not negotiable
Account minimum: $10,000-$50,000 for Mutual Fund and Variable Annuity accounts; $100,000 for ETF Accounts; $250,000 for Distribution Strategies; $500,000 to $1,000,000 for Privately Managed and Unified Managed Accounts (depending on investment strategy) Fee-only: Financial Planning Services: $3,500 total; Non-Managed Financial Advisory Services: $125-$150 per month or $1,500-$1,800 per year
Main office location
Plumb Financial
1905 Ascension Blvd.
Arlington TX 76006, United States
Number of offices
1
Most active in
Plumb Financial has reported serving >5 clients in these states in the last 12 months.
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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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