Carroll Frank & Plotkin LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Carroll, Frank & Plotkin provides portfolio advisory services, non-wrap RASA 044 accounts and comprehensive financial planning to individuals and trust accounts, and offers access to third‑party advisory programs. As of 12/31/2023 the firm reported $0 in discretionary AUM but supervised $22,586,114 in client assets that are managed by third parties.
The firm uses fundamental analysis and a long‑term purchase strategy and generally recommends mutual funds, stocks and bonds when constructing portfolios. It also assists clients in the selection and ongoing monitoring of third‑party advisers and offers advisory accounts where clients can impose reasonable investment restrictions.
A distinctive operational feature is that all advisory representatives are also registered representatives of Osaic Wealth, Inc., and advisory activity is processed through Osaic Wealth’s clearing relationship with Pershing, which can affect trade routing and supervisory oversight. The firm also discloses the potential to receive commissions from the sale of securities and insurance products and uses negotiable planning fees and flat‑fee arrangements for some financial planning work, which may create conflicts that clients should review.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% $1,000,000+: Negotiable
Commissions may be earned from sale of securities and insurance products if implementing financial plans with the firm.
Negotiable financial planning fees collected quarterly, semi-annually or annually; maximum initial fee 2% of salary plus bonus or flat rate starting at $500; maximum retainer fee 1% of salary plus bonus or flat rate starting at $250.
Main office
1829 Reisterstown Road, Suite 365
Pikesville MD 21208
Advisors at this office
1
Most active in
Maryland
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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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