Hedge Fund Database

CAPITAL PLANNING, LLC

Adviser information for CAPITAL PLANNING, LLC last updated from Form ADV on March 29th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Washington, United States

Employees

Total Number of Employees 14
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,370 $549.4M
Non-Discretionary 0 $0
Total 1,370 $549.4M

Clients

Type Number RAUM
Individuals 180 $85.4M
HNW Individuals 186 $455.8M
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 <5 $5.7M
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 <5 $2.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 10
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsCONSULTING SERVICES
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-79115
SEC ERA File Number 801-79115
SEC CIK Numbers 1790688
SEC CRD Numbers 169470
Legal Entity Identifier None

Principal Office

10900 NE 4TH STREET
SUITE 2300
BELLEVUE
WA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 425-643-1800, Fax: 425-643-1216

Websites

www.linkedin.com/company/capital-planning-llc/ capplanllc.com www.facebook.com/gowithdaviddunn www.linkedin.com/company/gowithdaviddunn/ www.facebook.com/capplanllc daviddunn.com capitalplanningcorp.com

Chief Compliance Officer

MICHAEL D. MILLER
CHIEF EXECUTIVE OFFICER
10900 NE 4TH STREET
SUITE 2300
BELLEVUE
WA
United States
Tel: 425-643-1800
Fax: 425-643-1216
(Full email address available in API data)

Regulatory Contact

JAMES E. KELLEY, JR.
PRESIDENT & CHIEF OPERATING OFFICER
10900 NE 4TH STREET
SUITE 2300
BELLEVUE
WA
United States
Tel: 425-643-1800
Fax: 425-643-1216
(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
M3 HOLDINGS CORP DBA CAPITAL PLANNING CORPORATION Domestic Entity – OWNER 10/2013 > 75%
KELLEY, JAMES, EARL Individual – MEMBER, PRESIDENT, CHIEF OPERATING OFFICER 01/2014 10-25%
MILLER, MICHAEL, DARRELL Individual M3 HOLDINGS CORP DBA CAPITAL PLANNING CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER 04/1983 > 75%
MILLER, MICHAEL, DARRELL Individual – CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER 01/2014 < 5%

No. Employees, Historic

20100201920202021202220232024202511 on 7/17/201911 on 8/7/201912 on 3/30/202012 on 6/12/202012 on 6/13/202012 on 6/19/202012 on 3/30/202112 on 3/31/202112 on 4/1/202112 on 4/14/202113 on 3/23/202213 on 3/28/202213 on 3/29/202213 on 7/29/202213 on 8/1/202213 on 8/3/202213 on 11/4/202213 on 12/16/202213 on 3/28/202313 on 3/29/202313 on 3/29/202313 on 3/30/202313 on 3/30/202313 on 3/30/202313 on 4/3/202313 on 4/4/202313 on 4/4/202313 on 4/4/202313 on 9/29/202313 on 11/3/202314 on 3/26/202414 on 3/28/202414 on 3/29/2024

RAUM, Historic

600M300M02019202020212022202320242025327105584 on 7/17/2019327105584 on 8/7/2019434608038 on 3/30/2020434608038 on 6/12/2020434608038 on 6/13/2020434608038 on 6/19/2020495436867 on 3/30/2021495436867 on 3/31/2021495436867 on 4/1/2021495436867 on 4/14/2021570768455 on 3/23/2022570768455 on 3/28/2022570768455 on 3/29/2022570768455 on 7/29/2022570768455 on 8/1/2022570768455 on 8/3/2022570768455 on 11/4/2022570768455 on 12/16/2022461347490 on 3/28/2023461347490 on 3/29/2023461347490 on 3/29/2023461347490 on 3/30/2023461347490 on 3/30/2023461347490 on 3/30/2023461347490 on 4/3/2023461347490 on 4/4/2023461347490 on 4/4/2023461347490 on 4/4/2023461347490 on 9/29/2023461347490 on 11/3/2023549366088 on 3/26/2024549366088 on 3/28/2024549366088 on 3/29/2024

No. Clients, Historic

40020002019202020212022202320242025362 on 7/17/2019362 on 8/7/2019373 on 3/30/2020373 on 6/12/2020373 on 6/13/2020373 on 6/19/2020371 on 3/30/2021371 on 3/31/2021371 on 4/1/2021371 on 4/14/2021376 on 3/23/2022376 on 3/28/2022376 on 3/29/2022376 on 7/29/2022376 on 8/1/2022376 on 8/3/2022376 on 11/4/2022376 on 12/16/2022374 on 3/28/2023374 on 3/29/2023374 on 3/29/2023374 on 3/30/2023374 on 3/30/2023374 on 3/30/2023374 on 4/3/2023374 on 4/4/2023374 on 4/4/2023374 on 4/4/2023374 on 9/29/2023374 on 11/3/2023366 on 3/26/2024366 on 3/28/2024366 on 3/29/2024

Holdings

From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Abbott Laboratories Common Stock 886K 9K –
AbbVie Inc Common Stock 1M 6K –
Agilent Technologies Inc Common Stock 263K 2K –
Alphabet Inc A Common Stock 497K 3K –
Amazon.com Inc Common Stock 327K 2K –
Apple Inc Common Stock 5M 24K –
Berkshire Hathaway Inc B Common Stock 610K 2K –
Boeing Co Common Stock 11M 59K –
Broadcom Inc Com Common Stock 562K 350 –
CAPITAL GROUP CORE PLUS INCM ETF Exchange Traded Fund 2M 92K –
Capital Group Dividend Value ETF Exchange Traded Fund 1M 42K –
CAPITAL GROUP GLOBAL GRWT EQY ETF Exchange Traded Fund 461K 16K –
Capital Group Growth ETF Exchange Traded Fund 2M 62K –
CAPITAL GROUP INTRTNL FOC EQY ETF Exchange Traded Fund 2M 69K –
CAPITAL GROUP MUNICIPAL INC ETF Exchange Traded Fund 5M 196K –
CAPITAL GROUP U S MULTI SEC ETF Exchange Traded Fund 693K 26K –
Costco Wholesale Corp Common Stock 3M 3K –
DIMENSIONAL US SMALL CAP VALU ETF Exchange Traded Fund 894K 31K –
DIMENSIONAL WLD EX US CR EQ 2 ETF Exchange Traded Fund 901K 35K –
Eli Lilly and Co Common Stock 305K 337 –
Fidelity MSCI Information Tech ETF Exchange Traded Fund 3M 20K –
Fidelity Total Bond ETF Exchange Traded Fund 2M 46K –
First Trust TCWOpportunistic Fxd Inc ETF Exchange Traded Fund 6M 140K –
FTI Consulting Inc Common Stock 3M 12K –
General Dynamics Corp Common Stock 406K 1K –
Global X S&P 500 Catholic Values ETF Exchange Traded Fund 242K 4K –
Hewlett Packard Enterprise Co Common Stock 238K 11K –
HP Inc Common Stock 484K 14K –
Invesco QQQ Trust Exchange Traded Fund 2M 4K –
Iqvia Hldgs Inc Common Stock 211K 1K –
iShares Core Dividend Growth ETF Exchange Traded Fund 20M 343K –
iShares Core MSCI EAFE ETF Exchange Traded Fund 1M 15K –
iShares Core S&P 500 ETF Exchange Traded Fund 39M 72K –
iShares Core S&P Mid-Cap ETF Exchange Traded Fund 418K 7K –
iShares Core S&P Small-Cap ETF Exchange Traded Fund 3M 26K –
iShares Core S&P Total US Stock Mkt ETF Exchange Traded Fund 6M 50K –
iShares Core Total USD Bond Market ETF Exchange Traded Fund 4M 91K –
iShares MSCI USA Min Vol Factor ETF Exchange Traded Fund 10M 117K –
iShares MSCI USA Momentum Factor ETF Exchange Traded Fund 7M 35K –
JPMorgan Chase & Co Common Stock 350K 2K –
JPMorgan Core Plus Bond ETF Exchange Traded Fund 5M 107K –
JPMorgan Equity Premium Income ETF Exchange Traded Fund 265K 5K –
Keysight Technologies Inc Common Stock 234K 2K –
Kimberly-Clark Corp Common Stock 388K 3K –
LEATHERBACK LNG SHRT ALTERN YLD ETF Exchange Traded Fund 378K 15K –
Microsoft Corp Common Stock 26M 58K –
NVIDIA Corp Common Stock 275K 2K –
Oracle Corp Common Stock 2M 16K –
PACCAR Inc Common Stock 429K 4K –
Philip Morris International Inc Common Stock 246K 2K –
Quanta Services Inc Common Stock 16M 61K –
Schwab Emerging Markets Equity ETF Exchange Traded Fund 226K 8K –
Schwab International Equity ETF Exchange Traded Fund 698K 18K –
Schwab US Dividend Equity ETF Exchange Traded Fund 550K 7K –
Schwab US Large-Cap ETF Exchange Traded Fund 801K 12K –
Schwab US Large-Cap Growth ETF Exchange Traded Fund 29M 290K –
Schwab US Large-Cap Value ETF Exchange Traded Fund 8M 108K –
Schwab US Mid-Cap ETF Exchange Traded Fund 3M 32K –
Schwab US Small-Cap ETF Exchange Traded Fund 285K 6K –
SPDR Blmbg 1-3 Mth T-Bill ETF Exchange Traded Fund 1M 12K –
Starbucks Corp Common Stock 639K 8K –
Stryker Corp Common Stock 273K 800 –
TCW Compounders ETF Exchange Traded Fund 7M 219K –
Technology Select Sector SPDR ETF Exchange Traded Fund 7M 31K –
TOEWS AGILITY SHS MANAGED RSK ETF Exchange Traded Fund 420K 13K –
Vanguard Dividend Appreciation ETF Exchange Traded Fund 3M 17K –
Vanguard FTSE Developed Markets ETF Exchange Traded Fund 259K 5K –
Vanguard FTSE Emerging Markets ETF Exchange Traded Fund 274K 6K –
Vanguard Growth ETF Exchange Traded Fund 6M 15K –
Vanguard Information Technology ETF Exchange Traded Fund 12M 20K –
Vanguard Large-Cap ETF Exchange Traded Fund 8M 33K –
Vanguard Mega Cap ETF Exchange Traded Fund 496K 3K –
Vanguard Mega Cap Growth ETF Exchange Traded Fund 11M 35K –
Vanguard Mega Cap Value ETF Exchange Traded Fund 12M 102K –
Vanguard Mid-Cap ETF Exchange Traded Fund 12M 48K –
Vanguard Russell 1000 Growth ETF Exchange Traded Fund 504K 5K –
Vanguard Small-Cap ETF Exchange Traded Fund 10M 44K –
Vanguard Small-Cap Growth ETF Exchange Traded Fund 924K 4K –
Vanguard Total Stock Market ETF Exchange Traded Fund 535K 2K –
Waste Management Inc Common Stock 1M 6K –