Plunkett & Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$2,704,653
Clients
9
Advisors
1
of 2 employees
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
Expertise
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
Main office
Carrollton GA
Advisors at this office
1
Most active in
Georgia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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