Plenty Financial RIA, LLC
CRD 323767SEC# 801-126890San Francisco, CA
No longer SEC-registered. Plenty Financial RIA, LLC appears in historical Form ADV filings but is not in the current SEC roster. Figures reflect its most recent filing.
Reg. AUM
$6.2M
Employees
6
Accounts
213
Location
San Francisco, CA
Plenty Financial RIA, LLC assets under management
Plenty Financial RIA, LLC is a registered investment adviser overseen by the SEC based in San Francisco, CA. It reports $6.2 million in regulatory assets under management and employs 6 people.
Plenty Financial RIA, LLC owners & executives
4 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Christopher Channing Allen Control | Chief Technology Officer | Under 5% | 2022 |
| Emily Win-Yan Luk Control | Chief Executive Officer And Chief Compliance Officer | Under 5% | 2022 |
| Plenty Financial, Inc. Control | Owner | Over 75% | 2022 |
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Join to unlock · $37/moFrequently asked questions
How much does Plenty Financial RIA, LLC manage?
Plenty Financial RIA, LLC reports $6.2 million in regulatory assets under management on its Form ADV.
How many employees does Plenty Financial RIA, LLC have?
Plenty Financial RIA, LLC reports 6 employees.
Where is Plenty Financial RIA, LLC located?
Plenty Financial RIA, LLC is based in San Francisco, CA.
Does Plenty Financial RIA, LLC disclose fund performance?
Plenty Financial RIA, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 576 Sacramento Street, Floor 6, San Francisco, CA 94111 |
| Office hours | 9:00 a.m. - 5:00 p.m. |
| Discloses disciplinary history | No |
Regulatory AUM
$6.2M▲ 24%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 99%
Larger than 1% of 16,271 advisers
EmployeesTop 56%
More than 44% of 16,825 advisers
Assets under management
$6.2Mregulatory AUM
Discretionary $6.2M