TURNING POINT FINANCIAL

RIASEC RegisteredEst. 2019
Total AUM
$339M
Discretionary
$339M
100% of AUM
Avg account
$188K
Accounts
1,804
Employees
23
Advisory reps
15

Firm details

Headquarters
FREDERICK, Maryland
CRD number
301282
Registered since
July 3, 2019
Website
www.tpfinancial.com
Custodians
SEI INVESTMENTS DISTRIBUTION CO., CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI55.07%
  • Individuals44.65%
  • Charitable Organizations0.19%
  • Corporations / Businesses0.09%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Turning Point Financial is an independent registered investment adviser organized as a corporation and overseen by individual ownership. The firm registered with the SEC in 2019 and serves both individual/family and institutional clients. Its advisory scope centers on financial planning, discretionary portfolio management for individuals and small businesses, and selection/oversight of other advisers. The firm also operates as an insurance broker and provides accounting services, reflecting a mix of wealth management and ancillary financial services. Fee arrangements include asset-based fees alongside hourly and fixed-fee engagements. Turning Point Financial is identified as a capital allocator, drawing on third‑party managers as part of its investment program. It does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 57%, Exchange Traded Equities 35%, Investment Grade Corp Bonds 4%, Cash & Cash Equivalents 2%, US Government Bonds 1%, Other 1%57%
  • Public Funds/Mutual Funds57%
  • Exchange Traded Equities35%
  • Investment Grade Corp Bonds4%
  • Cash & Cash Equivalents2%
  • US Government Bonds1%

Owners & executives

2 of 2

  • MICHAEL GOOD

    Chief Operating OfficerCRD 6258676

  • JAMES GOOD

    Chief Investment OfficerCRD 2466989

Contacts

3 of 13

  • WILLIAM HEIL

    Financial AdvisorCRD 5038267

  • THOMAS PIGNONE

    FounderCRD 801230

  • CRAIG MARCELLO

    Financial AdvisorCRD 2452005

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 59

Active vs passive

$179M in ETFs

Passive

81%

$144M

Active

9%

$34.5M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) BLOOMBERG 1-3 MONTH T-BILL ETF (BIL)State StreetPassiveUltrashort Bond$37.1M405,87120.78%
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Location

Primary office

FREDERICK, MD

FREDERICK

Location

FREDERICK, MD

Headquartered in FREDERICK, MD, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region
South
County
FREDERICK
Address
7210 Corporate Ct
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth