FINANCIAL PLANNING FIRST, LLC
Adviser information for FINANCIAL PLANNING FIRST, LLC last updated from Form ADV on May 16th, 2023. 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 | Arizona, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 750 | $68.7M |
| Non-Discretionary | 2 | $428,191 |
| Total | 752 | $69.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 279 | $37.7M |
| HNW Individuals | 20 | $28.6M |
| 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 | 4 | $2.8M |
| 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 | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 65.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FINANCIAL PLANNING FIRST LLC WRAP PROGRAM | FINANCIAL PLANNING FIRST, LLC |
Identifiers
| SEC RIA File Number | 801-125727 |
|---|---|
| SEC ERA File Number | 801-125727 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319273 |
| Legal Entity Identifier | 87-4727814 |
Principal Office
3567 E SUNRISE DR STE B237TUSCON
AZ
United States
Monday - Friday, BY APPOINTMENT
Tel: 520-314-1301, Fax: None
Chief Compliance Officer
MATTHEW SULLIVAN
PRESIDENT
3567 E SUNRISE DR STE B237
TUCSON
AZ
United States
Tel:
520-314-1301
M***@************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 |
|---|---|---|---|---|---|
| SULLIVAN, MATTHEW, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | > 75% |