PROVIDENT FINANCIAL PLANNING, LLC
Adviser information for PROVIDENT FINANCIAL PLANNING, LLC last updated from Form ADV on January 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 | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 270 | $130.5M |
| Non-Discretionary | 3 | $2.0M |
| Total | 273 | $132.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $7.6M |
| HNW Individuals | 43 | $117.5M |
| 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 | <5 | $7.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Hourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123142 |
|---|---|
| SEC ERA File Number | 801-123142 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 291830 |
| Legal Entity Identifier | None |
Principal Office
1560 E. SOUTHLAKE BLVDSTE. 100
SOUTHLAKE
TX
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 469-500-5200, Fax: None
Chief Compliance Officer
ZACHARY MONTGOMERY
MANAGING MEMBER
1560 E. SOUTHLAKE BLVD
STE. 100
SOUTHLAKE
TX
United States
Tel:
(469) 500-5200
Z******@**************M
(Full email address available in API data)
Regulatory Contact
IVAN BARRETTO
CONSULTANT
13359 NORTH HIGHWAY 183
406-649
AUSTIN
TX
United States
Tel:
8337422246
I***@*******O
(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 |
|---|---|---|---|---|---|
| MICHEL, PAUL, SHANNON | Individual | – | CEO AND MANAGING MEMBER | 12/2017 | > 75% |
| Montgomery, Zachary, Joseph | Individual | – | CFO AND CCO | 12/2022 | < 5% |
| Reinig, Neal | Individual | – | MEMBER | 12/2022 | 5-10% |
| Manson, Creig | Individual | – | PARTNER | 06/2023 | 5-10% |