INVESTMENTS & FINANCIAL PLANNING, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Kentucky, United States

Employees

Total Number of Employees	5
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,696	$241.4M
Non-Discretionary	0	$0
Total	1,696	$241.4M

Clients

Type	Number	RAUM
Individuals	649	$172.5M
HNW Individuals	80	$68.1M
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	<5	$816,387
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	5
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshopsFINANCIAL CONSULTING
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	230.6M

Portfolio Manager to Program	Sponsor
INVESTMENTS & FINANCIAL PLANNING, LLC	INVESTMENTS & FINANCIAL PLANNING, LLC

Identifiers

SEC RIA File Number	801-119021
SEC ERA File Number	801-119021
SEC CIK Numbers	1909307
SEC CRD Numbers	164333
Legal Entity Identifier	None

Principal Office

1795 ALYSHEBA WAY
SUITE 7104
LEXINGTON
KY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic