PLAN FINANCIAL
PLAN LIFE & WEALTH MANAGEMENT, INC. Legal Name
Adviser information for PLAN FINANCIAL last updated from Form ADV on March 28th, 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 767 | $169.9M |
| Non-Discretionary | 1 | $460,000 |
| Total | 768 | $170.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 738 | $137.4M |
| 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 | 16 | $26.1M |
| Charitable organizations | 9 | $5.3M |
| 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 | 5 | $1.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 768 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112596 |
|---|---|
| SEC ERA File Number | 801-112596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 44960 |
| Legal Entity Identifier | None |
Principal Office
9 E RIVER PARK PL E, SUITE 440FRESNO
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 559-433-1110, Fax: 559-433-1102
Websites
Chief Compliance Officer
JOHN R. HOOPER
PRESIDENT & CEO
9 E RIVER PARK PL E, SUITE 440
FRESNO
CA
United States
Tel:
559-433-1110
Fax:
559-433-1102
J******@****************M
(Full email address available in API data)
Regulatory Contact
JOEL R. HOOPER
BUSINESS INTEGRATION MANAGER
9 E RIVER PARK PL E, SUITE 440
FRESNO
CA
United States
Tel:
559-433-1110
Fax:
559-433-1102
J**********@****************M
(Full email address available in API data)
Industry Affiliates
| JOHN D. WERFT, CPA ACCOUNTANCY/REAL ESTATE | Accountant or accounting firmReal estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOOPER, JOHN, ROBERT | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER/CFO/DIRECTOR | 06/1993 | > 75% |
| HALLS, ISAAC, ELLSWORTH | Individual | – | VICE-PRESIDENT, SALES/DIRECTOR | 01/2021 | 10-25% |
| Hooper, Joel, Robert | Individual | – | SECRETARY | 01/2023 | 10-25% |