AdvisorRanked
92
Clean

TURNING POINT FINANCIAL

7210 CORPORATE CT., FREDERICK, MD 21703
Fiduciaryfee-onlySEC Registered
301-846-9336 www.tpfinancial.com CRD #301282
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$339M
Assets Managed
15
Clients
23
Employees
7
Years Active
since 2019

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46113. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46113

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 6.67 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameTURNING POINT FINANCIAL
CRD Number#301282
SEC RegisteredYes
Registration Date2019-07-03
States RegisteredMD
Assets Under Management$339M
Number of Clients15
Employees23
Compensation Typefee-only
Last ADV Filing46113

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Frequently Asked Questions

Is TURNING POINT FINANCIAL a fiduciary?

Yes. TURNING POINT FINANCIAL is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does TURNING POINT FINANCIAL charge clients?

TURNING POINT FINANCIAL uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does TURNING POINT FINANCIAL have any complaints?

Yes. TURNING POINT FINANCIAL has 1 complaint(s) on record. Their complaint ratio is 6.67 per 100 clients (industry average: ~0.15).

How does TURNING POINT FINANCIAL compare to other advisors in FREDERICK?

TURNING POINT FINANCIAL has a Red Flag Score of 92/100. There are 6 registered advisory firms in FREDERICK. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46113. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.