PLAN CONFIDENCE CORPORATION
Adviser information for PLAN CONFIDENCE CORPORATION last updated from Form ADV on March 6th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 74 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $31,000 |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $31,000 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1 | $31,000 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 699 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesNON DISCRETIONARY ADVICE (3)(21)(A)II |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-107791 |
|---|---|
| SEC ERA File Number | 801-107791 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283781 |
| Legal Entity Identifier | None |
Principal Office
1900 MAIN STREETSUITE 308
SARASOTA
FL
United States
Monday - Friday, 9 AM - 4 PM EST
Tel: 312-373-0772, Fax: None
Chief Compliance Officer
KEVIN CLARK
CEO
4974 OLDHAM STREET.
SARASOTA
FL
United States
Tel:
312-373-0772
K****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLARK, KEVIN, THOMAS | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 02/2016 | 50-75% |
| Reddick, Mark | Individual | – | CHIEF TECHNOLOGY OFFICER | 06/2018 | 10-25% |