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Faulkner Financial Planning
Faulkner Financial Planning, LLC is registered as an investment advisor firm.
Faulkner Financial Planning
Faulkner Financial Planning, LLC is registered as an investment advisor firm. The firm operates under a fee-only model, charging clients directly for financial planning and portfolio management services rather than collecting commissions on product sales. This structure places the firm in a fiduciary role, legally obligated to act in its clients' best interests. The firm's investment approach is grounded in individualized portfolio management. Its strategy likely covers a mix of asset classes including domestic and international equities, fixed income, and potentially real estate through publicly traded REITs. Rather than managing pooled funds or institutional separate accounts, the firm focuses on constructing and rebalancing portfolios tailored to individual client objectives. Its geographic focus appears concentrated on serving US-based individuals and families. Team size and total assets under management remain undisclosed. No recent operational events, adjacent philanthropic vehicles, or co-investor club memberships have been publicly identified as of mid-2026. The firm has not publicized leadership changes, strategic acquisitions, or new office openings in the past 24 months. A structural differentiator is the firm's posture as a fee-only, fiduciary advisor — a model that legally separates its revenue from product distribution incentives. This contrasts with broker-dealer affiliated advisors who may operate under a less stringent suitability standard. The firm's emphasis on financial planning — not just investment management — positions it in the holistic advisory space, an architecture that integrates tax, estate, and retirement planning into the investment process.
General information
Firm type
Asset Manager
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
—
Corporate office
—
Frequently asked questions
Is Faulkner Financial Planning a fee-only or commission-based advisor?
The firm operates as a fee-only registered investment advisor, meaning it charges clients directly for services and does not accept commissions from product sales. This structure legally obligates the firm to act as a fiduciary, requiring it to place client interests ahead of its own. The fee-only model is viewed by many allocators and individual investors as reducing conflicts of interest compared to commission-based or hybrid advisory models.
What regulatory standard does Faulkner Financial Planning operate under?
As a registered investment advisor, Faulkner Financial Planning is held to a fiduciary standard under the Investment Advisers Act of 1940. This requires the firm to provide advice that is in the best interest of its clients and to fully disclose any material conflicts of interest. This contrasts with the suitability standard that applies to broker-dealers, where recommendations must only be suitable for the client but not necessarily the optimal or lowest-cost option.
Does Faulkner Financial Planning manage pooled investment vehicles or only individual accounts?
Information on the firm's specific investment structures is limited, but its business model centers on individualized financial planning and wealth management. This suggests a focus on separately managed accounts tailored to client goals, rather than managing commingled mutual funds or hedge fund vehicles. Institutional allocators seeking fund commitments are unlikely to find pooled vehicles at this firm.
How does Faulkner Financial Planning's service model integrate tax and estate considerations?
The firm markets itself as a financial planning practice, not simply an investment manager, which implies services extending into retirement, tax, and estate planning. For a fee-only RIA, these are typically integrated into the client relationship rather than outsourced piecemeal, though specific in-house capabilities remain unverified. Clients evaluating the firm should probe whether these planning services are delivered by internal staff or through external partner networks.
What is the known ownership structure of Faulkner Financial Planning?
The firm's ownership structure has not been publicly documented in detail as of mid-2026. As a limited liability company registered as an RIA, it is likely privately held by its founding or managing principals, but no named principals or equity stakeholders have been confirmed through publicly available records. The absence of disclosed private equity backing or institutional ownership suggests an independent, founder-operated structure.
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