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Carroll Frank & Plotkin LLC (Baltimore)


Carroll Frank & Plotkin LLC is an adviser based in Baltimore. It manages $12 million of regulatory assets for 30 client accounts. It has been registered with the SEC as an adviser since 2005.

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Carroll Frank & Plotkin provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Carroll Frank & Plotkin: assets under management

The assets under management (AUM) of Carroll Frank & Plotkin LLC is $12 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -63% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $12 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $400 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carroll Frank & Plotkin LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Baltimore

The principal office where Carroll Frank & Plotkin LLC performs its advisory services is located at The Village Of Cross Keys, Baltimore, MD 21210, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-323-3600 or by fax 410-323-7526. The normal business hours are 8:30 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.cfpfinancialadvisors.com.


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