Plotkin Financial Advisors, Llc
- Regulatory AUM
- $256M
- Discretionary
- $256M
- Clients
- 319
- Avg AUM / client
- $802K
- Accounts
- 710
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Investments (13F portfolio — 100 positions, $199,108,088)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Vanguard Total Stock Market Etf | ETF | $19,901,769 | 62,036 | 10.0% | 7.78% |
| 2 | Vaneck Semiconductor Etf | ETF | $13,974,163 | 36,448 | 7.02% | 5.46% |
| 3 | Invesco Qqq Trust Series I | ETF | $13,403,561 | 23,222 | 6.73% | 5.24% |
| 4 | First Trust Rising Dividend Achievers Etf | ETF | $13,016,694 | 190,637 | 6.54% | 5.09% |
| 5 | Vanguard Dividend Appreciation Etf | ETF | $9,250,784 | 43,014 | 4.65% | 3.62% |
| 6 | Jpmorgan Ultra Short Income Etf | ETF | $7,680,877 | 151,766 | 3.86% | 3.0% |
| 7 | First Trust Nasdaq Cybersecurity Etf | ETF | $7,515,582 | 119,904 | 3.77% | 2.94% |
| 8 | Apple Inc Com | Stock | $7,349,183 | 28,957 | 3.69% | 2.87% |
| 9 | First Trust Multi Cap Growth Alphadex Fund | ETF | $7,098,445 | 44,666 | 3.57% | 2.77% |
| 10 | State Street Spdr S&P 500 Etf | ETF | $7,041,881 | 10,828 | 3.54% | 2.75% |
| 11 | First Trust Capital Strength Etf | ETF | $6,018,918 | 64,887 | 3.02% | 2.35% |
| 12 | Tr Activebeta Us Large Cap Equity Etf | ETF | $5,669,139 | 45,306 | 2.85% | 2.22% |
| 13 | Ishares Msci Usa Momentum Factor Etf | ETF | $4,540,370 | 18,919 | 2.28% | 1.77% |
| 14 | Ft Vest Us Equity Buffer Etf January | ETF | $3,987,935 | 79,110 | 2.0% | 1.56% |
| 15 | First Trust Dow Jones Internet Index Fund | ETF | $3,758,287 | 16,059 | 1.89% | 1.47% |
| 16 | Nvidia Corporation Com | Stock | $3,405,334 | 19,526 | 1.71% | 1.33% |
| 17 | Amplify Cwp Enhanced Dividend Income Etf | ETF | $2,991,450 | 66,699 | 1.5% | 1.17% |
| 18 | First Trust Cloud Computing Etf | ETF | $2,989,464 | 27,336 | 1.5% | 1.17% |
| 19 | Proshares Ultra S&P 500 | ETF | $2,884,439 | 55,598 | 1.45% | 1.13% |
| 20 | Vaneck Morningstar Wide Moat Etf | ETF | $2,607,225 | 26,962 | 1.31% | 1.02% |
| 21 | Exxon Mobil Corp Com | Stock | $2,223,054 | 13,103 | 1.12% | 0.87% |
| 22 | First Trust Nasdaq 100 Technology Sector Index Fund | ETF | $2,087,014 | 9,663 | 1.05% | 0.82% |
| 23 | Schwab U.S. Large Cap Etf | ETF | $2,079,506 | 81,104 | 1.04% | 0.81% |
| 24 | First Trust Financials Alphadex Fund | ETF | $1,816,060 | 32,320 | 0.91% | 0.71% |
| 25 | First Trust Technology Alphadex Fund | ETF | $1,766,316 | 11,118 | 0.89% | 0.69% |
Top 25 of 100 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 203 | $59.4M | 23.2% |
| High net worth individuals | 116 | $196M | 76.5% |
| Pension and profit sharing plans | Fewer than 5 clients | $677K | 0.26% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Erich Michael Imphong | President | CFP | Aug 2016 (10y) | ≈ 56.25% – 100% via Oceanview Consultants, Llc |
| Murphy, Kristi, Leigh | Chief Compliance Officer/Executive Vp Client Operations | May 2021 (5y) | Less than 5% | |
| Ginn, Betsy | Owner | Jan 2024 (3y) | GP / trustee / elected manager of Oceanview Consultants, Llc (indirect) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Oceanview Consultants, Llc | Owner | Jan 2024 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Erich Michael Imphong: 75% – 100% of Oceanview Consultants, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • PERCENTAGE OF RETIREMENT PLAN ASSETS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $248M (97% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗