Frank Pugliese
Frank Pugliese is a registered investment advisor at Personal Financial Profiles INC, based in Coral Springs, FL, with 49 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 229 clients with $340M 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 $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1M+ | 0.50% |
For accounts over $1,000,000, the fees are tiered and depend on the asset class (equity/mutual fund vs. bonds/cash). The fees for the individually managed bond and cash component range from 0.65% to 0.35%.
Fee Estimator
Location
10100 W. Sample Road, Suite 300, Coral Springs, FL, 33065
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
Frank is the Chairman-Emeritus, CEO, Chief Portfolio Manager, and Principal of Personal Financial Profiles Inc., a registered investment advisor, dedicating over full-time hours to this role. He also provides insurance solutions through Pugliese Financial Corp, spending a few hours per week, and works as a registered representative with APW Capital, Inc., spending about 10-20% of his time.
Employment History
Current Registrations
Personal Financial Profiles INC
Previous Registrations
Apw Capital, INC.Broker
Foresters Equity Services, INC.Broker
Triad Advisors, INC.Broker
United Planners' Financial Services of America a Limited PartnerBroker
Ifg Network Securities, INC.Broker
Chris Securities INC.Broker
Investors Associates, INC.Broker
Mutual of Omaha Fund Management CompanyBroker
State Registrations1 state
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.