P
Plunkett & Associates, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$8,216,971
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
9
22% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
9
Average account size
$912,997
About
Plunkett & Associates serves individuals, trusts, estates and charitable organizations, providing financial planning and discretionary portfolio management. The firm operates with a single advisor and a very small client roster (nine clients), typically developing individualized relationships rather than using model-driven or large-scale programs.
Portfolios are implemented primarily through direct selection of individual stocks and bonds and are guided by a client-specific Financial Profile and Investment Plan. The firm combines traditional fundamental analysis with charting, technical and cyclical methods, may employ margin transactions when appropriate, and conducts regular reviews of managed accounts.
Compared with many peers, the firm’s small scale and sole-advisor governance result in account oversight and advice being handled directly by the firm’s principal, with no reported disciplinary history or outside financial industry affiliations. The firm does not offer wrap programs and uses an institutional custodial/brokerage platform that provides research and operational support, which the firm discloses may create program-related conflicts of interest.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Fee options
$0 - $1,000,000: 1.25% (Blended or Equity Only) $1,000,001 - $9,999,999: 1.00% (Blended or Equity Only) $10,000,000+: Negotiable (Blended or Equity Only) $0 - $1,000,000: 0.625% (Fixed Income Only) $1,000,001 - $9,999,999: 0.50% (Fixed Income Only) $10,000,000+: Negotiable (Fixed Income Only)
$250 per hour for stand-alone financial planning services
Account minimum: $250,000
Most active in
Plunkett & Associates, Inc. has reported serving >5 clients in these states in the last 12 months.
Georgia
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
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