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PLENTY FINANCIAL RIA, LLC

SAN FRANCISCO, CA · CRD 323767 · IAPD ↗ · 628-333-3863

$6.2MRegulatory AUM
1Advisory reps
6Employees
0Clients
0Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2026 — PLENTY FINANCIAL RIA, LLC (SAN FRANCISCO, CA) left the SEC roster (was $6.2M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
42
April 2025 — PLENTY FINANCIAL RIA, LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
March 2025 — PLENTY FINANCIAL RIA, LLC notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
November 2024 — PLENTY FINANCIAL RIA, LLC notice-filed in CO, IL, MA, OR, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.