FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.
Adviser information for FINANCIAL PLANNING CONCEPTS OF AMERICA, INC. last updated from Form ADV on March 21st, 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 | New York, 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 | 254 | $125.7M |
| Non-Discretionary | 0 | $0 |
| Total | 254 | $125.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 140 | $40.9M |
| HNW Individuals | 34 | $84.8M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 | % of AUMHourly chargesFixed fees |
Principal Office
340 COLUMBIA TURNPIKESUITE 108
WEST PALM BEACH
FL
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 718-667-5050, Fax: 718-874-0049
Websites
Chief Compliance Officer
JOSEPH R. MARCHESE
340 COLUMBIA TURNPIKE
SUITE 108
WEST PALM BEACH
FL
United States
Tel:
718-667-5050
Fax:
718-874-0049
J********@*************M
(Full email address available in API data)
Industry Affiliates
| GOLDMAN SACHS & CO. LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorRegistered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchant |
| PENSIONMARK FINANCIAL GROUP, LLC | Other investment adviser, including financial planners |
| PENSIONMARK SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SCOTTS AMERICAN, LLC | Insurance company or agency |
| SESAME INSURANCE, LLC | Insurance company or agency |
| TFS ADVISORY SERVICES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersAccountant or accounting firmInsurance company or agencyPension consultant |
| TRIC AGENCY CORP. | Insurance company or agency |
| WORLD INSURANCE ASSOCIATES, LLC | Insurance company or agency |
| WORLD INSURANCE PROGRAMS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARCHESE, JOSEPH, RICHARD | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 06/1989 | < 5% |
| WIA HOLDINGS, LLC | Domestic Entity | – | DIRECT OWNER OF FINANCIAL PLANNING CONCEPTS OF AMERICA | 02/2019 | > 75% |
| NISBET, PHILIP, ALEXANDER | Individual | – | CHIEF OPERATIONS OFFICER, DIRECTOR | 02/2019 | < 5% |
| EKNOIAN, RICHARD, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER, DIRECTOR | 02/2019 | < 5% |
| WORLD ASSOCIATES HOLDINGS, LLC | Domestic Entity | WIA HOLDINGS, LLC | MEMBER | 02/2019 | > 75% |
| CB CLOCKWORK MIDCO LLC | Domestic Entity | WORLD ASSOCIATES HOLDINGS, LLC | MEMBER | 04/2020 | > 75% |
| CB CLOCKWORK PARENT LLC | Domestic Entity | CB CLOCKWORK MIDCO LLC | MEMBER | 04/2020 | > 75% |
| CHOE, MICHAEL, WOOSUNG | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2020 | |
| EKNOIAN, RICHARD, THOMAS | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2020 | |
| NISBET, PHILIP, ALEXANDER | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2020 | |
| KATZ, DAVID, L | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2020 | |
| Sheffer, David | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2020 | |
| EALY, THOMAS, JAMES | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 09/2020 | |
| ATON, NEAL, RICHARD | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 11/2021 | |
| RUI, MUTIAN | Individual | CB CLOCKWORK PARENT LLC | MANAGER | 04/2021 |