{
  "crd_number": 112280,
  "slug": "carroll-frank-and-plotkin-llc-pikesville-md-112280",
  "primary_business_name": "CARROLL FRANK & PLOTKIN LLC",
  "legal_name": "CARROLL FRANK & PLOTKIN LLC",
  "dbas": [],
  "city": "Pikesville,",
  "state": "MD",
  "country": "United States",
  "cbsa_code": "12580",
  "metro": {
    "cbsa_code": "12580",
    "common_name": "Baltimore",
    "msa_name": "Baltimore-Columbia-Towson, MD",
    "path": "/advisors/md/baltimore"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "1991-01-07",
  "years_registered": 35,
  "period": "2026-10-01",
  "filing_date": "2026-03-09",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "MD"
  ],
  "websites": [
    "https://cfpfinancialadvisors.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/112280",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    }
  ],
  "city_as_filed": "PIKESVILLE,",
  "url": "https://advisorcensus.com/firm/carroll-frank-and-plotkin-llc-pikesville-md-112280",
  "display_name": "Carroll Frank & Plotkin LLC",
  "summary": "Carroll Frank & Plotkin LLC is a state-registered investment advisory firm in Pikesville,, MD, registered since 1991, with no regulatory assets under management reported in its Form ADV filing dated March 9, 2026.",
  "citation": "AdvisorCensus. Carroll Frank & Plotkin LLC (CRD 112280): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Carroll Frank & Plotkin LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Carroll Frank & Plotkin LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Carroll Frank & Plotkin LLC located?",
      "a": "Carroll Frank & Plotkin LLC's principal office is in Pikesville,, MD, according to its Form ADV."
    },
    {
      "q": "Is Carroll Frank & Plotkin LLC registered with the SEC or a state?",
      "a": "Carroll Frank & Plotkin LLC is a state-registered investment advisory firm, registered since 1991. Status as filed: APPROVED. CRD 112280."
    },
    {
      "q": "Does Carroll Frank & Plotkin LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/112280"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/carroll-frank-and-plotkin-llc-pikesville-md-112280.md",
  "clients": [],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/112280",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}