Portolan Financial Planning LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,684,202
Clients
46
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
46
HighAverage account size
$210,526
About
Portolan Financial Planning LLC provides personalized investment advisory services, comprehensive financial planning and bundled tax preparation to individuals (including high‑net‑worth clients), trusts, estates, charitable organizations, pensions and profit‑sharing plans, and small businesses. The firm also offers retirement plan consulting for employers and may accept limited hourly or project engagements.
The adviser typically recommends long‑term allocations to no‑load mutual funds and emphasizes strategic asset allocation, periodic rebalancing, cost minimization and tax management. Portolan reports roughly $9.68 million in non‑discretionary assets under management, indicating that most client accounts are managed on a non‑discretionary basis — a configuration that is less common among independent advisers.
Distinctive operational features include bundled tax preparation (not offered on a stand‑alone basis) and retirement plan consulting that can include plan manager selection and employee enrollment assistance, services that extend beyond typical retail advisory offerings. The firm’s brochure discloses a December 2025 consent order resolving past unregistered adviser activity in North Carolina, which was settled with a $2,500 civil penalty.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Tax advice and preparation
Expertise
General retirement planning
Tax-loss harvesting
General tax planning
Fee options
$0 - $250,000: Hourly rate of $150/hour (fees based on estimated hours required) $250,001 - $500,000: 1% annually $500,001+: 1% on first $500,000 plus 0.25% on amount over $500,000
Hourly rate of $150/hour
Account minimum: $250,000 Fee-only: Hourly rate of $150/hour for clients below $250,000 AUM and for hourly engagements; annual fees based on hourly billing for < $250,000 AUM clients
Main office location
Portolan Financial Planning LLC
Durham NC, United States
Number of offices
1
Most active in
Portolan Financial Planning LLC has reported serving >5 clients in these states in the last 12 months.
Louisiana · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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