ASSET PLANNING, INC
Adviser information for ASSET PLANNING, INC last updated from Form ADV on March 26th, 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| 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 | 386 | $441.6M |
| Non-Discretionary | 4 | $4.9M |
| Total | 390 | $446.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 129 | $24.1M |
| HNW Individuals | 259 | $420.5M |
| 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 | <5 | $1.9M |
| 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 | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-62993 |
|---|---|
| SEC ERA File Number | 801-62993 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111535 |
| Legal Entity Identifier | None |
Principal Office
10833 VALLEY VIEW STREETSUITE 470
CYPRESS
CA
United States
Monday - Friday, 8:00 AM TO 4:00 PM
Tel: 714-827-5794, Fax: None
Chief Compliance Officer
CAROL SOMOANO
VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
10833 VALLEY VIEW ST.
SUITE 470
CYPRESS
CA
United States
Tel:
7148275794
C*****@*******************M
(Full email address available in API data)
Regulatory Contact
CAROL SOMOANO
VICE PRESIDENT
10833 VALLEY VIEW STREET
SUITE 470
CYPRESS
CA
United States
Tel:
714-827-5794
Fax:
714-947-1168
C*****@*******************M
(Full email address available in API data)
Industry Affiliates
| HELLER TAX, INC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIELD, SANDRA, CHERYL | Individual | – | PRESIDENT | 10/1989 | 50-75% |
| SOMOANO, CAROL | Individual | – | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 09/2009 | 25-50% |
| NELSEN, ERIN, MARIE | Individual | – | SECRETARY | 01/2019 | 10-25% |