FINANCIAL PLAN, INC.
Adviser information for FINANCIAL PLAN, INC. last updated from Form ADV on February 12th, 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 | Washington, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| 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 | 3,426 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 3,426 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 655 | $417.1M |
| HNW Individuals | 226 | $628.4M |
| 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 | 7 | $7.6M |
| 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 | 14 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-77339 |
|---|---|
| SEC ERA File Number | 801-77339 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116073 |
| Legal Entity Identifier | None |
Principal Office
2115 BARKLEY BLVD.SUITE 101
BELLINGHAM
WA
United States
Monday - Friday, 9 TO 5
Tel: 360-714-1234, Fax: 360-738-3125
Chief Compliance Officer
DAVID A. DICK
2115 BARKLEY BLVD.
SUITE 101
BELLINGHAM
WA
United States
Tel:
360-714-1234
Fax:
360-738-3125
D*********@*******************M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| TWINING, JAMES, BARBER | Individual | – | CHIEF EXECUTIVE OFFICER | 08/1997 | 25-50% |
| DICK, DAVID, ALDEN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | 10-25% |
| WOLF, WILLIAM, DEVIN | Individual | – | CHIEF INVESTMENT OFFICER | 01/2015 | 10-25% |
| TWINING, NATHAN, JAMES | Individual | – | CHIEF TECHNOLOGY OFFICER | 01/2015 | 10-25% |
| Twining, Gabriel, Aaron | Individual | – | CHIEF PERSONNEL OFFICER | 01/2020 | 5-10% |