DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PEAKSTONE FINANCIAL ADVISORS

PLOTKIN FINANCIAL ADVISORS, LLC, CRD 127635

CHEVY CHASE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5c4fe606-e854-3039-ddfa-6aa54d626dc4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 0
Observed: Feb 17, 2012 to Mar 27, 2026
34 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $256MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $256M
Private client RAUM: $255MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $256Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 710
Individual clients: 203
High net worth clients: 116
Custody, client assets: $135M
SEC number: 801-85168
CIK: 1826394
CRD: 127635
Filings on the tape: 34
First filed: Feb 17, 2012
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, MD
Website: pfallc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ERICH MICHAEL IMPHONG	Certified Financial Planner	SANTA MARIA, CA \| MARRIOTTSVILLE, MD \| CHEVY CHASE, MD \| Chevy Chase, MD	10	13	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
IMPHONG, ERICH, MICHAEL	Owner	E	yes	01/2024	Mar 27, 2024	Oct 11, 2024
IMPHONG, ERICH, MICHAEL	President	Na	yes	01/2024	Mar 27, 2024	Oct 11, 2024
MURPHY, KRISTI, LEIGH	CHIEF COMPLIANCE OFFICER/EXECUTIVE VP- CLIENT OPERATIONS	Na	yes	05/2021	Jan 11, 2022	Oct 11, 2024
OCEANVIEW CONSULTANTS, LLC	Owner	E	yes	01/2024	Mar 27, 2024	Oct 11, 2024
Ginn, Betsy	Owner	F	no	01/2024	Mar 27, 2024	Oct 11, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$256M	$256M	4	3	1	n/a	n/a
2024	Mar 24, 2025	$222M	$222M	4	3	0	n/a	n/a
2023	Mar 27, 2024	$175M	$175M	5	4	1	n/a	n/a
2022	Mar 31, 2023	$163M	$163M	5	3	1	n/a	n/a
2021	Mar 18, 2022	$207M	$207M	5	3	1	n/a	n/a
2020	Mar 29, 2021	$180M	$180M	7	5	1	n/a	n/a
2019	Mar 31, 2020	$135M	$135M	7	5	0	n/a	n/a
2018	Mar 20, 2019	$104M	$104M	7	5	0	n/a	n/a
2017	Mar 16, 2018	$113M	$113M	6	6	0	n/a	n/a
2016	Mar 27, 2017	$113M	$113M	10	10	n/a	n/a	n/a
2015	Feb 18, 2016	$111M	$111M	6	6	n/a	n/a	n/a
2011	Mar 12, 2012	$36.4M	$36.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$256M	$222M	15.3%	$163M	16.2%	4	4	1	0

Relationships

Registered with (4)

← ERICH MICHAEL IMPHONGAdvisorregistration: current employment
Aug 5, 2016 to presentfactForm ADV
← ITTAI DVIRAdvisorregistration: previous registration
Mar 29, 2010 to Jan 11, 2022factForm ADV
← Sarah J HuntAdvisorregistration: previous registration
Jan 22, 2018 to May 18, 2021factForm ADV
← MICHAEL ALAN EDBERGAdvisorregistration: previous registration
Jul 2, 2015 to Sep 15, 2017factForm ADV

Controls (3)

← MURPHY, KRISTI, LEIGHOwnerCHIEF COMPLIANCE OFFICER/EXECUTIVE VP- CLIENT OPERATIONS, ownership code NA, individual
Jan 11, 2022 to Oct 11, 2024factForm ADV
← IMPHONG, ERICH, MICHAELOwnerOWNER, ownership code E, individual
Mar 27, 2024 to Oct 11, 2024factForm ADV
← OCEANVIEW CONSULTANTS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 27, 2024 to Oct 11, 2024factForm ADV

Owns (1)

← Ginn, BetsyOwnerOWNER, ownership code F, individual
Mar 27, 2024 to Oct 11, 2024factForm ADV

Dated events

Occurred
Mar 27, 2024
Control person left
Shimshon Plotkin (Owner/President) no longer on Schedule A of Peakstone Financial Advisors (listed 2023-03-31, absent 2024-03-27)
Form ADVobserved 3 days ago
Occurred
Mar 27, 2024
Control person joined
Michael Erich Imphong (President) appeared on Schedule A of Peakstone Financial Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person left
Josephine Sarah Hunt (Chief Compliance Officer) no longer on Schedule A of Peakstone Financial Advisors (listed 2021-03-29, absent 2022-01-11)
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Leigh Kristi Murphy (Chief Compliance Officer) appeared on Schedule A of Peakstone Financial Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Advisor changed firm
Ittai Dvir left Peakstone Financial Advisors for Independent Financial Group, Llc (registered 2025-01-20)
Form ADVobserved 3 days ago
Occurred
Mar 24, 2015
First Form ADV filing
Plotkin Financial Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c4fe606-e854-3039-ddfa-6aa54d626dc4
First observed: Feb 17, 2012
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PEAKSTONE FINANCIAL ADVISORS

PLOTKIN FINANCIAL ADVISORS, LLC, CRD 127635

CHEVY CHASE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5c4fe606-e854-3039-ddfa-6aa54d626dc4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ERICH MICHAEL IMPHONG

Certified Financial Planner

SANTA MARIA, CA | MARRIOTTSVILLE, MD | CHEVY CHASE, MD | Chevy Chase, MD

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

IMPHONG, ERICH, MICHAEL

Owner

yes

01/2024

Mar 27, 2024

Oct 11, 2024

IMPHONG, ERICH, MICHAEL

President

yes

01/2024

Mar 27, 2024

Oct 11, 2024

MURPHY, KRISTI, LEIGH

CHIEF COMPLIANCE OFFICER/EXECUTIVE VP- CLIENT OPERATIONS

yes

05/2021

Jan 11, 2022

Oct 11, 2024

OCEANVIEW CONSULTANTS, LLC

Owner

yes

01/2024

Mar 27, 2024

Oct 11, 2024

Ginn, Betsy

Owner

01/2024

Mar 27, 2024

Oct 11, 2024

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$256M

n/a

2024

Mar 24, 2025

$222M

n/a

2023

Mar 27, 2024

$175M

n/a

2022

Mar 31, 2023

$163M

n/a

2021

Mar 18, 2022

$207M

n/a

2020

Mar 29, 2021

$180M

n/a

2019

Mar 31, 2020

$135M

n/a

2018

Mar 20, 2019

$104M

n/a

2017

Mar 16, 2018

$113M

n/a

2016

Mar 27, 2017

$113M

n/a

2015

Feb 18, 2016

$111M

n/a

2011

Mar 12, 2012

$36.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$256M

$222M

15.3%

$163M

16.2%