THE PLANNING GROUP
TPG ADVISORS LLC Legal Name
Adviser information for THE PLANNING GROUP 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 663 | $194.0M |
| Non-Discretionary | 43 | $13.4M |
| Total | 706 | $207.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 157 | $50.7M |
| HNW Individuals | 56 | $143.0M |
| 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 | $13.1M |
| Charitable organizations | <5 | $97,604 |
| 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 | $517,847 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-114032 |
|---|---|
| SEC ERA File Number | 801-114032 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298496 |
| Legal Entity Identifier | None |
Principal Office
465 CENTRAL AVESUITE 201
NORTHFIELD
IL
United States
Monday - Friday, 9;00AM - 5:00PM
Tel: 847-441-9400, Fax: 847-881-0800
Chief Compliance Officer
MICHAEL DAVID BROWN
CHIEF COMPLIANCE OFFICER
465 CENTRAL AVE
SUITE 201
NORTHFIELD
IL
United States
Tel:
847-441-9400
Fax:
847-881-0800
M*****@*****************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 |
|---|---|---|---|---|---|
| NJ BROWN & ASSOCIATES | Domestic Entity | – | MEMBER | 06/2018 | 25-50% |
| BARRON WEALTH MANAGEMENT | Domestic Entity | – | MEMBER | 06/2018 | 25-50% |
| SHUMAN FINANCIAL CONSULTING, LLC | Domestic Entity | – | MEMBER | 06/2018 | 25-50% |
| BROWN, MICHAEL, DAVID | Individual | NJ BROWN & ASSOCIATES | PRINCIPAL | 06/2018 | 25-50% |
| SHUMAN, PAUL, SAMUEL | Individual | SHUMAN FINANCIAL CONSULTING, LLC | PRINCIPAL | 06/2018 | 25-50% |
| BARRON, DANI, GERALD | Individual | BARRON WEALTH MANAGEMENT | PRINCIPAL | 06/2018 | 25-50% |
| BROWN, MICHAEL, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2018 | < 5% |