PLENTY FINANCIAL RIA, LLC
CRD #323767 SEC #801-126890 SAN FRANCISCO, CA 628-333-3863
SEC Registered
Total AUM
$6.2M
Discretionary
$6.2M
Employees
6
Clients
0
Accounts
213
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 18, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Allen, Christopher, Channing | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Luk, Emily, Win-Yan | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
| PLENTY FINANCIAL, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | D | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | D | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | D | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | D | Control |
| Allen, Christopher, Channing | I | PLENTY FINANCIAL, INC. | C | Control |
| Allen, Christopher, Channing | I | PLENTY FINANCIAL, INC. | C | Control |
| Allen, Christopher, Channing | I | PLENTY FINANCIAL, INC. | C | Control |
| Allen, Christopher, Channing | I | PLENTY FINANCIAL, INC. | C | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | C | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | C | Control |
| Luk, Emily, Win-Yan | I | PLENTY FINANCIAL, INC. | C | Control |
Registrations
Federal
IA
Mar 18, 2025 REGISTERED
Notice Filings (12)
CA CO FL IL MA NC NY OR SC TX VA WA
Address
576 SACRAMENTO STREETFLOOR 6
SAN FRANCISCO, CA 94111
United States
Phone: 628-333-3863