Sarah Kaplan
Sarah Kaplan is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in Rockville, MD, with 23 years of industry experience. Sarah is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B 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 $750K | 2.25% |
| $750K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2M+ | 1.50% |
Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.
Fee Estimator
Location
1101 Wootton Parkway, Suite 920, Rockville, MD, 20852
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Sarah sells fixed insurance, dedicating about 10-20% of her time to this activity. She is also a part owner and managing partner of Kaplan Benefits Group, LLC, co-trustee of Kaplan Financial Group 401k Plan, and co-owner of Kaplan Financial Group, LLC.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
K-Financial, LLC
AXA Advisors, LLC
AXA Advisors, LLCBroker
K-Financial
Mony Securities Corporation
Mony Securities CorporationBroker
State Registrations23 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.
Exams
More Advisors
- Nihad Basic, CFP
- Victor Krasij, CFAAprio Wealth Management, LLC
- Todd Rundle, CFPAlphacore Capital LLC
- Peyton Randolph, CFPRaymond James Financial Services Advisors, INC
- Joseph Jacques, CFP, ChFCJacques Advisors, LLC
- Clark Kendall, CFA, CFPKendall Capital Management