AVANTAX PLANNING PARTNERS, INC.

RIASEC RegisteredEst. 1996

Total AUM

$7.6B

Discretionary

$7.6B

100% of AUM

Avg account

$549K

Accounts

13,797

Employees

261

Advisory reps

292

Firm details

Headquarters: DUBUQUE, Iowa
CRD number: 106237
Registered since: January 17, 1996
Website: www.avantax.com
Custodians: CHARLES SCHWAB & CO., INC., FIDELITY PERSONAL TRUST COMPANY
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI47.33%
Pension & Profit Sharing Plans28.56%
Individuals21.44%
Corporations / Businesses2.02%
Charitable Organizations0.66%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Avantax Planning Partners, Inc. is a corporate RIA that provides fee-based financial planning and portfolio management for individuals, small businesses, larger business clients and institutions. The firm also offers pension consulting and the selection of other advisers, and it operates an insurance brokerage business alongside its advisory services. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed fees. The firm acts as a capital allocator, placing client assets with third-party managers where appropriate, and it was listed among FA Magazine’s Top RIA Firms in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Public Funds/Mutual Funds83%
Exchange Traded Equities8%
Cash & Cash Equivalents5%
State & Local Bonds2%
US Government Bonds1%

Owners & executives

3 of 10

KRISTY HALEY
Chief Compliance OfficerCRD 4022155
MATTHEW BREGOZZO
Chief Compliance OfficerCRD 5881295
LISA GOK
Chief Legal OfficerCRD 5059738

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Contacts

3 of 282

NICOLE BOREN
Financial Planning ConsultantCRD 6240798
JERRY KIRKPATRICK
Investment Advisor Representative and Registered RepresentativeCRD 2785743
Melissa LaBrue
Registered RepresentativeCRD 5951018