FREDERICK, MARK D.

Overview

Frederick, Mark D. operates as a sole-proprietor independent RIA and delivers financial planning primarily on an hourly and fixed-fee basis. The practice is registered as an adviser but also maintains active business roles as a registered representative of a broker-dealer and as an insurance broker, which indicates revenue and client activity can come from both fee-for-service planning and transaction- or product-based channels. The firm is not positioned as a capital allocator and does not identify as an active ESG investor, a pension consultant, or a multi-state adviser. Given the footprint and stated activities, investment work appears to be advisory-focused rather than centered on managing client portfolios on a discretionary, institution-style basis. The combination of fee-for-service planning with broker-dealer and insurance relationships suggests the firm’s client delivery model emphasizes personalized planning, referrals to third-party managers or product sponsors, and implementation through brokerage or insurance channels when appropriate.

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