Hedge Fund Database

FINANCIAL PLANNING AND INFORMATION SERVICES, INC.

Adviser information for FINANCIAL PLANNING AND INFORMATION SERVICES, INC. last updated from Form ADV on March 13th, 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 Wisconsin, United States

Employees

Total Number of Employees 16
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 4,135 $1.1B
Non-Discretionary 0 $0
Total 4,135 $1.1B

Clients

Type Number RAUM
Individuals 810 $350.5M
HNW Individuals 347 $728.7M
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 $872,028
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 119
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 1000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-61933
SEC ERA File Number 801-61933
SEC CIK Numbers 1841433
SEC CRD Numbers 113110
Legal Entity Identifier None

Principal Office

115 FOURTH STREET
DE PERE
WI
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 920-336-0863, Fax: 920-336-0852

Websites

thefinplangroup.com

Chief Compliance Officer

LONNY S. ELFENBEIN
CHIEF COMPLIANCE OFFICER
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel: 513-977-8305
Fax: 513-977-8141
(Full email address available in API data)

Regulatory Contact

RYAN B. WEMPE
PRESIDENT
115 FOURTH STREET
DE PERE
WI
United States
Tel: 920-336-0863
Fax: 920-336-0852
(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
WEMPE, RYAN, BRENT Individual – PRESIDENT 03/2018 50-75%
BUDINGER, DANIEL, JAMES Individual – VICE PRESIDENT 01/2010 25-50%
BROWN, RACHEL, DOROTHY Individual – VICE PRESIDENT 10/2013 10-25%
Elfenbein, Lonny, Scott Individual – CHIEF COMPLIANCE OFFICER 07/2023 < 5%

No. Employees, Historic

2010020202021202220232024202512 on 3/18/202012 on 3/19/202012 on 3/23/202012 on 3/27/202012 on 5/7/202012 on 10/2/202014 on 2/10/202114 on 3/5/202116 on 9/1/202117 on 3/12/202218 on 4/1/202218 on 4/6/202217 on 5/25/202217 on 7/5/202217 on 2/28/202317 on 2/28/202317 on 5/8/202317 on 7/10/202317 on 7/10/202317 on 8/23/202317 on 10/26/202316 on 3/13/2024

RAUM, Historic

2B1B0202020212022202320242025771504952 on 3/18/2020771504952 on 3/19/2020771504952 on 3/23/2020771504952 on 3/27/2020771504952 on 5/7/2020771504952 on 10/2/2020874385377 on 2/10/2021874385377 on 3/5/2021874385377 on 9/1/20211007518203 on 3/12/20221007518203 on 4/1/20221007518203 on 4/6/20221007518203 on 5/25/20221007518203 on 7/5/2022896740089 on 2/28/2023896740089 on 2/28/2023896740089 on 5/8/2023896740089 on 7/10/2023896740089 on 7/10/2023896740089 on 8/23/2023896740089 on 10/26/20231080097204 on 3/13/2024

No. Clients, Historic

2,0001,00002020202120222023202420251000 on 3/18/20201000 on 3/19/20201000 on 3/23/20201000 on 3/27/20201000 on 5/7/20201000 on 10/2/20201023 on 2/10/20211023 on 3/5/20211023 on 9/1/20211090 on 3/12/20221090 on 4/1/20221090 on 4/6/20221090 on 5/25/20221090 on 7/5/20221110 on 2/28/20231110 on 2/28/20231110 on 5/8/20231110 on 7/10/20231110 on 7/10/20231110 on 8/23/20231110 on 10/26/20231159 on 3/13/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
SPDR SER TR S&P 600 SMCP VAL 51M 652K –
SPDR SER TR PRTFLO S&P500 GW 48M 603K –
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 46M 992K –
WISDOMTREE TR US MIDCAP DIVID 46M 978K –
HARTFORD FDS EXCHANGE TRADED TOTAL RTRN ETF 41M 1M –
VANGUARD INDEX FDS VALUE ETF 35M 215K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 34M 1M –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 32M 631K –
VANGUARD BD INDEX FDS SHORT TRM BOND 27M 357K –
VANGUARD INDEX FDS GROWTH ETF 27M 73K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 22M 185K –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 21M 802K –
SPDR SER TR S&P 600 SMCP GRW 20M 229K –
WISDOMTREE TR EMG MKTS SMCAP 19M 375K –
SCHWAB STRATEGIC TR US LCAP GR ETF 16M 162K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 13M 273K –
PACER FDS TR US CASH COWS 100 13M 235K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 12M 159K –
VANGUARD INDEX FDS SM CP VAL ETF 11M 58K –
PACER FDS TR PACER US SMALL 10M 229K –
SPDR SER TR PRTFLO S&P500 VL 8M 169K –
VANGUARD INDEX FDS SML CP GRW ETF 8M 31K –
ISHARES TR RUS MDCP VAL ETF 8M 65K –
FIRST TR EXCHANGE-TRADED FD MANAGD MUN ETF 7M 136K –
VANGUARD INDEX FDS MCAP VL IDXVIP 6M 42K –
WEC ENERGY GROUP INC COM 6M 80K –
VANGUARD BD INDEX FDS INTERMED TERM 5M 69K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 5M 65K –
PROCTER AND GAMBLE CO COM 4M 27K –
VANGUARD INDEX FDS MID CAP ETF 4M 17K –
HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 4M 101K –
ISHARES TR CORE S&P US VLU 4M 44K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 3M 83K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 3M 58K –
WISDOMTREE TR YIELD ENHANCD US 2M 57K –
APPLE INC COM 2M 11K –
ISHARES TR SP SMCP600VL ETF 2M 25K –
INVESCO QQQ TR UNIT SER 1 2M 4K –
VANGUARD MUN BD FDS TAX EXEMPT BD 2M 41K –
WISDOMTREE TR US SMALLCAP DIVD 2M 52K –
ISHARES TR S&P MC 400VL ETF 1M 13K –
VANGUARD INDEX FDS SMALL CP ETF 1M 6K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 29K –
ISHARES TR RUS 2000 VAL ETF 1M 8K –
MICROSOFT CORP COM 1M 3K –
VANGUARD WORLD FD MATERIALS ETF 1M 6K –
LOCKHEED MARTIN CORP COM 815K 2K –
ISHARES TR MSCI EAFE ETF 742K 9K –
NEXTERA ENERGY INC COM 741K 10K –
SHERWIN WILLIAMS CO COM 730K 2K –
WISDOMTREE TR EUROPE SMCP DV 711K 12K –
WALMART INC COM 663K 10K –
ISHARES TR MSCI EMG MKT ETF 658K 15K –
ALPHABET INC CAP STK CL A 622K 3K –
BANK FIRST CORP COM 607K 7K –
FISERV INC COM 529K 4K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 512K 14K –
ISHARES TR S&P 500 GRWT ETF 459K 5K –
EXXON MOBIL CORP COM 433K 4K –
TESLA INC COM 401K 2K –
AMAZON COM INC COM 377K 2K –
UNITEDHEALTH GROUP INC COM 376K 738 –
KIMBERLY-CLARK CORP COM 350K 3K –
JOHNSON & JOHNSON COM 334K 2K –
JPMORGAN CHASE & CO. COM 331K 2K –
VANGUARD INDEX FDS MCAP GR IDXVIP 329K 1K –
ABBVIE INC COM 312K 2K –
DIMENSIONAL ETF TRUST US SMALL CAP VAL 311K 11K –
PEPSICO INC COM 303K 2K –
MCDONALDS CORP COM 300K 1K –
NVIDIA CORPORATION COM 282K 2K –
NICOLET BANKSHARES INC COM 261K 3K –
WISDOMTREE TR FLOATNG RAT TREA 254K 5K –
ISHARES TR CORE S&P500 ETF 237K 433 –
CHEVRON CORP NEW COM 235K 2K –
WOODWARD INC COM 228K 1K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 227K 4K –
ASSOCIATED BANC CORP COM 214K 10K –
SPDR S&P 500 ETF TR TR UNIT 209K 384 –
VANGUARD WORLD FD CONSUM STP ETF 206K 1K –
HOME DEPOT INC COM 203K 590 –
HARTFORD FDS EXCHANGE TRADED SCHRDRS TAX BD 199K 10K –
TASEKO MINES LTD COM 27K 11K –