PLAN GROUP FINANCIAL, INC.
Adviser information for PLAN GROUP FINANCIAL, INC. last updated from Form ADV on March 31st, 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 | Oklahoma, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,536 | $285.5M |
| Non-Discretionary | 0 | $0 |
| Total | 2,536 | $285.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,395 | $170.0M |
| HNW Individuals | 49 | $115.5M |
| 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 | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-118599 |
|---|---|
| SEC ERA File Number | 801-118599 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116508 |
| Legal Entity Identifier | None |
Principal Office
6 NE 63RD STREETSUITE 240
OKLAHOMA CITY
OK
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 405-848-1099, Fax: 405-848-1163
Chief Compliance Officer
BRIAN PETRAITIS
36 W PIKE ST.
FLOOR TWO
COVINGTON
KY
United States
Tel:
859-600-1497
B*********@**********************M
(Full email address available in API data)
Regulatory Contact
CODY WHEELER
DIRECTOR OF OPERATIONS
6 N.E. 63RD STREET
SUITE 240
OKLAHOMA CITY
OK
United States
Tel:
405-848-1099
Fax:
405-848-1163
C***@************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 |
|---|---|---|---|---|---|
| CLAYCOMB, DOUGLAS, RAY | Individual | – | PRESIDENT | 03/2017 | > 75% |
| WHEELER, CODY, OWEN | Individual | – | DIRECTOR OF OPERATIONS | 10/2022 | < 5% |
| Petraitis, Brian, Joseph | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |