FINANCIAL PLANS & STRATEGIES, INC.
Adviser information for FINANCIAL PLANS & STRATEGIES, INC. last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,774 | $543.3M |
| Non-Discretionary | 3 | $6.5M |
| Total | 2,777 | $549.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,086 | $184.9M |
| HNW Individuals | 246 | $358.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 3 | $6.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1600 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-107206 |
|---|---|
| SEC ERA File Number | 801-107206 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123793 |
| Legal Entity Identifier | None |
Principal Office
375 N. MADISON AVENUEGREENWOOD
IN
United States
Monday - Friday, 8:15 AM - 4:15 PM
Tel: 317-882-7675, Fax: 317-882-5981
Chief Compliance Officer
LARA DESOTEL
CHIEF COMPLIANCE OFFICER
375 N. MADISON AVE.
GREENWOOD
IN
United States
Tel:
317-882-7675
Fax:
317-882-5981
L*******@***********M
(Full email address available in API data)
Regulatory Contact
MICHAEL MEINERS
MANAGING DIRECTOR
375 N. MADISON AVENUE
GREENWOOD
IN
United States
Tel:
317-882-7675
Fax:
317-882-5981
M*******@***********M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL PLANNING INVESTMENTS INC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DESOTEL, LARA, KARMEL | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | 10-25% |
| MEINERS, MICHAEL, JOSEPH | Individual | – | CEO | 05/1982 | 50-75% |
| MEINERS, MAGGIE, LYNN | Individual | – | COO | 01/2017 | 10-25% |