PEACE OF MIND FINANCIAL PLANNING, INC
PEACE OF MIND FINANCIAL, INC Legal Name
Adviser information for PEACE OF MIND FINANCIAL PLANNING, INC last updated from Form ADV on March 27th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 417 | $115.3M |
| Total | 417 | $115.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 108 | $57.1M |
| HNW Individuals | 14 | $52.3M |
| 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 | $5.9M |
| 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 | 9 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesTAX PREPARATION SERVICES |
|---|---|
| Compensation | Hourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-122428 |
|---|---|
| SEC ERA File Number | 801-122428 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289067 |
| Legal Entity Identifier | None |
Principal Office
7222 COMMERCE CENTER DRIVESUITE 175
COLORADO SPRINGS
CO
United States
Monday - Friday, 9:00AM - 4:00PM BY APPOINTMENT ONLY
Tel: 719-836-8181, Fax: 719-836-8996
Chief Compliance Officer
LINDA Y. LEITZ
PRESIDENT
7222 COMMERCE CENTER DRIVE
SUITE 175
COLORADO SPRINGS
CO
United States
Tel:
719-836-8181
Fax:
719-836-8996
L****@*****************M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| LEITZ, LINDA, YOWS | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 02/2020 | > 75% |
| Parris-Exline, Danielle, Renee | Individual | – | SHAREHOLDER | 01/2023 | 10-25% |