INVESTMENT MANAGEMENT & PLANNING LLC
Adviser information for INVESTMENT MANAGEMENT & PLANNING LLC last updated from Form ADV on January 24th, 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 | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 3 |
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Investment Advisory/Research | 3 |
Registered Broker-Dealer Representatives | 3 |
Registered State Investment Advisers | 3 |
Licensed Agents of an Insurance Company | 3 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 497 | $197.4M |
Non-Discretionary | 0 | $0 |
Total | 497 | $197.4M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 141 | $33.8M |
HNW Individuals | 174 | $161.5M |
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 | 4 | $2.1M |
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 | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
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Compensation | % of AUMHourly charges |
Other Business Activities | Insurance broker or agent |
Wrap Fee Program
Offers Wrap Fee Program | Yes |
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Acting As | RAUM |
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Sponsor | 6.4M |
Portfolio Manager | 191.1M |
Both for Same | 0 |
Portfolio Manager to Program | Sponsor |
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INVESTMENT MANAGEMENT & PLANNING LLC WRAP FEE PROGRAM | INVESTMENT MANAGEMENT & PLANNING LLC |
Identifiers
SEC RIA File Number | 801-107553 |
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SEC ERA File Number | 801-107553 |
SEC CIK Numbers | None |
SEC CRD Numbers | 146041 |
Legal Entity Identifier | None |
Principal Office
20 MONTCHANIN ROADSUITE 270
GREENVILLE
DE
United States
Monday - Friday, 8:30AM - 5PM
Tel: 302-654-5449, Fax: 302-654-7477
Websites
Chief Compliance Officer
HOWARD RICHARDSON
PRESIDENT
20 MONTCHANIN ROAD
SUITE 270
GREENVILLE
DE
United States
Tel:
302-654-5449
Fax:
302-654-7477
H****************@*********M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
RICHARDSON, HOWARD, CALVERT | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 01/2002 | > 75% |