PLAN FIRST WEALTH LLC
Adviser information for PLAN FIRST WEALTH LLC last updated from Form ADV on March 19th, 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 | Delaware, 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 | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $3.5M |
| Non-Discretionary | 187 | $121.4M |
| Total | 191 | $124.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 46 | $23.9M |
| HNW Individuals | 65 | $101.0M |
| 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 | 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 | 0 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 1.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PLAN FIRST WEALTH LLC WRAP PROGRAM | BETTERMENT |
Identifiers
| SEC RIA File Number | 801-114931 |
|---|---|
| SEC ERA File Number | 801-114931 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289185 |
| Legal Entity Identifier | None |
Principal Office
500 WEST PUTNAM AVESTE 400
GREENWICH
CT
United States
OFFICE VISITS BY APPOINTMENT ONLY, OFFICE VISITS BY APPOINTMENT ONLY
Tel: 646 201 4865, Fax: N/A
Chief Compliance Officer
MARTHA SARAH KERN
500 WEST PUTNAM AVE
STE 400
GREENWICH
CT
United States
Tel:
646-201-4865
M*****@******************M
(Full email address available in API data)
Regulatory Contact
RICHARD TAYLOR
MANAGING MEMBER
500 WEST PUTNAM AVE
STE 400
GREENWICH
CT
United States
Tel:
646 201 4865
R******@******************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 |
|---|---|---|---|---|---|
| TAYLOR, RICHARD, CHRISTOPHER | Individual | – | MANAGING MEMBER & CHIEF EXECUTIVE OFFICER | 04/2017 | > 75% |
| KERN, MARTHA, SARAH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2021 | < 5% |