Plante Moran Financial Advisors, LLC (Southfield)


Plante Moran Financial Advisors, LLC is a large advisory firm based in Southfield. It manages $16.5 billion of regulatory assets for 13,611 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Arizona, California, and 28 other states.

Plante Moran Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for approximately 3,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Plante Moran Financial Advisors: assets under management

The assets under management (AUM) of Plante Moran Financial Advisors, LLC is $16.5 billion. The firm's AUM has grown by 209% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $8.88 billion in discretionary accounts and $7.62 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $807.64 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.91 million.
Plante Moran Financial Advisors has custody of $922.05 million in cash and securities for 966 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 88% of the total AUM. The second-largest asset type is exchange traded securities, which make up 6% of the firm’s portfolio. Investments in pooled investment vehicles form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Plante Moran Financial Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Frank William Audia serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Frank William Audia is high net worth individuals with 1,628 clients and $9.16 billion of assets under management. Among the 12 most similar advisory firms, Plante Moran Financial Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $16.07 billion for 2,893 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Plante Moran Financial Advisors doesn't advise any private funds.

Careers at Plante Moran Financial Advisors, LLC

The company employs 142 people that are either part- or full-time employees. 97 percent of the employees work as investment advisers or researchers. 125 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Frank William Audia has been acting as President since 1 Jul 2009. James Matthew Baird has served as the Chief Investment Officer since 1 Feb 2013. David Timothy Doyle joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Patrick James Swarz Chief compliance officer 1 Dec 2006 Other 2554578
Llp P&M Holding Group Member 1 Jul 2008 75% - 100% 38-1357951
Robert Murray Palmer Vice president, director 1 Jul 2008 Other 2661154
Patrick James Swarz Chief compliance officer 1 Jul 2008 Other 2554578
Gordon Krater Chairman of executive board 1 Jul 2008 Other 5612076
James Proppe Chairman of executive board 1 Jul 2008 Other 5030014
Arthur Eugene Albin Chief operating officer 1 Jan 2009 Other 4393215
Mark C. Dixon Chief investment officer 1 Jan 2009 Other 4454180
Frank William Audia Director 1 Jul 2009 Other 5716848
John James Lesser President 1 Jul 2011 Other 4454195
James Matthew Baird Chief investment officer 1 Feb 2013 Other 5041143
James Proppe Chairman of the executive board 1 Jul 2017 Other 5030014
Bradley William Virkus Director 1 Jul 2017 Other 6826649
David Timothy Doyle Chief compliance officer 1 Apr 2019 Other 2552281

Based in Southfield

The principal office where Plante Moran Financial Advisors, LLC performs its advisory services is located at 27400 Northwestern Hwy, Southfield, MI 48034, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 248-352-2500 or by fax 248-352-0018. The normal business hours are 8:30 a.m. to 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at wealth.plantemoran.com.