PLANROCK INVESTMENTS LLC
PLANROCK WEALTH MANAGEMENT, LLC Legal Name
Adviser information for PLANROCK INVESTMENTS LLC last updated from Form ADV on March 29th, 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 | Tennessee, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 79 | $27.3M |
| Non-Discretionary | 0 | $0 |
| Total | 79 | $27.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 30 | $24.2M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $3.0M |
| 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 | 30 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesINVESTMENT CONSULTING TO OTHER INVESTMENT ADVISORS |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-118167 |
|---|---|
| SEC ERA File Number | 801-118167 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304803 |
| Legal Entity Identifier | None |
Principal Office
7105 PEACH CTSUITE 106
BRENTWOOD
TN
United States
Monday - Friday, 9AM - 2PM
Tel: 800-677-6025, Fax: None
Websites
Chief Compliance Officer
PLESHETTA LOFTIN
7105 PEACH CT
SUITE 106
BRENTWOOD
TN
United States
Tel:
800-677-6025
P******@***********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 |
|---|---|---|---|---|---|
| HAMMERS, STEPHEN, MICHAEL | Individual | – | CCO / MANAGING PARTNER/CIO | 07/2019 | > 75% |