Frank Flores
Sound Planning and Investments · Essex, Connecticut
Frank Flores is a fee-only financial advisor at Sound Planning and Investments in Essex, Connecticut, who holds the CFP credential. Sound Planning and Investments reports charging a percentage of assets and hourly fees on its Form ADV.
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Facts
| Firm | Sound Planning and Investments |
|---|---|
| Based in | Essex, Connecticut |
| Fee model (firm's Form ADV) | Percentage of assets · Hourly |
| Assets under management | $99.0M across 59 accounts |
| Credentials | CFP |
| SEC registration | Investment adviser representative in CA, CT, TX · CRD 1180556 |
| Exams passed | Series 63 (1991) |
| Firm size | 1 employee |
| Disclosures | None reported |
How Frank's firm compares
- Sound Planning and Investments's average account is about $1.7 million, from its Form ADV (assets managed divided by 59 accounts).
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Questions about Frank
Is Frank Flores a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Frank holds no broker registration, and Sound Planning and Investments reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Frank charge for financial advice?
Frank's firm, Sound Planning and Investments, reports charging a percentage of assets and hourly fees on its SEC Form ADV.
Where is Frank Flores based?
Frank Flores is based in Essex, Connecticut.
What credentials does Frank Flores hold?
Frank Flores holds the CFP credential.
Is Frank Flores registered with the SEC?
Yes. Frank Flores is registered as an investment adviser representative in CA, CT and TX (CRD 1180556), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Sound Planning and Investments manage?
Sound Planning and Investments reports $99.0M across 59 accounts in assets under management.
How do I contact Frank Flores?
Contact details aren't on file yet. Search for Sound Planning and Investments.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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