Philip Pluta
Philip Pluta is a registered investment advisor at J.P. Morgan Securities LLC, based in Los Angeles, CA, with 39 years of industry experience. Philip operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 1,055,400 clients with $350B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.45% |
| $250K - $500K | 1.30% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $15.0M | 0.55% |
| $15.0M - $25.0M | 0.50% |
| $25.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
The Advisory Fee rate for assets invested in the Fixed Income Advisory Program (FIAP) is 0.70%. The Advisory Fee rate for assets invested in the Liquidity Management Strategy (LMS) is 0.40%. Effective November 10, 2025 the Advisory Fee rate for new LMS investors and LMS proposals dated on or after November 10, 2025 will be 0.60%.
Fee Estimator
Location
1888 Century Park East, Los Angeles, CA, 90067
Get directionsHistory
Regulatory History (9)
Customer Dispute
December 2025Customer Dispute
March 2022Customer Dispute
February 2012Customer Dispute
May 2009Customer Dispute
April 1998Customer Dispute
January 1998Customer Dispute
February 1995Customer Dispute
June 1994Customer Dispute
August 1990Other Business Activities
Philip is an employee of both JPMorgan Securities and JPMorgan Bank since 2018. As an employee of JPMorgan Bank, he can offer bank products and services, including deposit and credit products.
Employment History
Current Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Previous Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Sutro & CO. IncorporatedBroker
Painewebber IncorporatedBroker
Kidder, Peabody & CO. IncorporatedBroker
Shearson Lehman Hutton INC.Broker
State Registrations42 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.