MINDFUL ASSET PLANNING
MINDFUL ASSET PLANNING LLC Legal Name
Adviser information for MINDFUL ASSET PLANNING last updated from Form ADV on March 25th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 2,035 | $386.4M |
| Total | 2,035 | $386.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 342 | $386.4M |
| HNW Individuals | 0 | $0 |
| 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 | 342 |
| 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 clientsPension consulting services |
|---|---|
| Compensation | Hourly chargesFixed feesPERCENTAGE OF ASSETS SUPERVISED |
Identifiers
| SEC RIA File Number | 801-80606 |
|---|---|
| SEC ERA File Number | 801-80606 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113965 |
| Legal Entity Identifier | None |
Principal Office
14530 PENNOCK AVEAPPLE VALLEY
MN
United States
Monday - Friday, 8:00AM TO 5:00 PM
Tel: 952-432-4666, Fax: 952-432-6705
Chief Compliance Officer
STEVEN D ZIMMERMAN
14530 PENNOCK AVE
APPLE VALLEY
MN
United States
Tel:
952-432-4666
S****@******************M
(Full email address available in API data)
Regulatory Contact
STEVEN ZIMMERMAN
PRESIDENT
14530 PENNOCK AVE
APPLE VALLEY
MN
United States
Tel:
952-432-4666
Fax:
952-432-6705
S****@******************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 |
|---|---|---|---|---|---|
| ZIMMERMAN, STEVEN, DOUGLAS | Individual | – | PRESIDENT/CCO | 01/1988 | < 5% |
| ZIMMERMAN, SUSAN, KAY | Individual | – | VICE PRESIDENT | 01/1988 | < 5% |
| BRICE, MARK, WILLIAM | Individual | – | MEMBER/VICE PRESIDENT | 01/2019 | 25-50% |
| HEIAR, DANIEL, JAMES | Individual | – | MEMBER MANAGER/VICE PRESIDENT | 01/2019 | 25-50% |
| SEBASTIAN, REBECCA, MARIE | Individual | – | MEMBER/VICE PRESIDENT | 01/2019 | 25-50% |
| AUGUSTIN, NICHOLAS, JOHN | Individual | – | MEMBER/VICE PRESIDENT | 01/2021 | 25-50% |