Pollock Planning Associates Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$164,514,113
Total clients
66
71% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
66
Average account size
$2,492,638
About
Pollock Planning Associates, Inc. is an SEC‑registered independent advisory firm that provides discretionary investment management and financial planning services to individuals, trusts, and estates. The firm’s client base is described in its brochure as primarily high‑net‑worth individuals and it also offers standalone planning and consulting engagements on a flat‑fee basis.
The firm allocates client assets among mutual funds (including Dimensional Fund Advisors funds), ETFs, individual equities and fixed income using long‑ and short‑term purchase strategies, and conducts periodic portfolio reviews with ongoing supervision. Pollock Planning treats cash as an asset class (including sweep and money‑market handling), commonly recommends Schwab as custodian, and can include externally held assets in its consolidated reporting and AUM calculations.
Distinctive features noted in the brochure include managing roughly $164.5 million of discretionary assets for about 66 clients, implying relatively high AUM per client for a small independent firm, and the routine use of DFA funds, which can limit future trading or purchases if a client moves to an adviser not approved by DFA. The firm also maintains a formal succession arrangement with another advisory firm and provides comprehensive reporting that can incorporate non‑managed accounts, practices that may be less common among peers.
Client services
Financial planning
Portfolio management
Expertise
General tax planning
General estate planning guidance
Fee options
Financial planning and consulting services offered on a flat fee basis generally ranging between $4,000 and $20,000
$0 - $499,999: 1.00% $500,000 - $999,999: 0.75% $1,000,000+: 0.50%
Account minimum: $3,000 minimum annual fee Minimum fee: $3,000 minimum annual fee for investment advisory services (may be reduced or waived at firm's discretion) Fee-only: Investment management services offered on a fee-only basis; no commissions accepted
Main office location
Pollock Planning Associates Inc.
Asheville NC, United States
Number of offices
1
Most active in
Pollock Planning Associates Inc. has reported serving >5 clients in these states in the last 12 months.
Florida · New Jersey · North Carolina · Pennsylvania
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:
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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.
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