P
Plunkett, Richard J.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$1,840,000
Total clients
5
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
5
Average account size
$368,000
About
The firm provides investment advice, asset-allocation guidance, fiduciary due diligence and ongoing portfolio management primarily for individual and high-net-worth clients. It prepares written Investment Policy Statements and serves as an advisor in third‑party programs such as FTJ FundChoice while tailoring recommendations to each client rather than using model portfolios.
The firm’s investment process relies on charting, fundamental and technical analysis and includes regular monitoring and periodic reviews (at least quarterly) of client accounts. It operates on a non‑discretionary basis—advice is provided and trades are executed only with client authorization—which the brochure notes explicitly.
The brochure discloses that the adviser is a licensed insurance agent, a relationship the firm acknowledges could create conflicts of interest that clients should consider. While an external data tag indicates commissions are uncommon among peers, the brochure states the firm does not accept outside compensation for sale of securities and will not charge commissions beyond custodian‑imposed costs; it also discloses personal trading practices (including trading near client transactions) that prospective clients may want to review.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
Commission-based compensation is reported in SEC Form ADV Part 1 but brochure states no outside compensation for sale of securities.
Most active in
Plunkett, Richard J. has reported serving >5 clients in these states in the last 12 months.
California
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:
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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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