Portolan Financial Planning LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$9,684,202
Total clients
46
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
46
Average account size
$210,526
About
Portolan Financial Planning LLC provides personalized investment advisory and comprehensive financial planning, and includes tax preparation services within its annual engagements. The firm works with a mix of individual clients as well as trusts, estates, charitable organizations and small-business clients, and also provides retirement plan consulting to employer plans.
The firm’s investment process emphasizes continuous monitoring and primarily technical analysis, typically recommending long-term allocations to no-load mutual funds with strategic asset allocation, rebalancing, and tax-management techniques. Clients may grant discretionary authority, but Portolan reports $6,885,074 in non-discretionary assets under management as of January 1, 2024.
Compared with many solo independent advisers, Portolan’s practice includes atypical institutional-type services for its size—ongoing retirement-plan consulting (including assistance to plan fiduciaries and employee enrollment) and inclusion of tax-preparation work in client engagements. Portolan operates as a fee-only, state-registered adviser, does not accept commissions, and recommends Charles Schwab as a custodian for execution and custody.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Tax advice and preparation
Expertise
Tax-loss harvesting
General tax planning
Wealth management
Passive / index investing
Fee options
$0 - $250,000: Hourly fee of $150/hour, fees based on estimated hours required $250,001 - $500,000: 1.00% $500,001+: 0.25% on amount above $500,000 plus 1.00% on first $500,000
Hourly rate of $150/hour for clients below $250,000 AUM or for limited engagements
Account minimum: $250,000 Fee-only: Fee-only advisor, compensated solely by client fees, no commissions or other compensation from third parties
Main office location
Portolan Financial Planning LLC
Durham NC, United States
Number of offices
1
Most active in
Portolan Financial Planning LLC has reported serving >5 clients in these states in the last 12 months.
Louisiana · North Carolina
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.
Forms ADV
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