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

273

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 corporation that has been SEC-registered since 1996 and serves both individual/family and institutional clients. The firm functions as a capital allocator and offers a mix of fee arrangements, including percentage-of-AUM, hourly, and fixed-fee engagements. Its advisory scope covers financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, and the selection of outside advisers. Avantax also operates as an insurance broker and maintains industry relationships spanning broker-dealers, trust companies, insurance firms, accountants and pension consultants. FA Magazine included the firm on a "Top RIA Firms" list 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 9

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 264

Nicole Boren
Financial Planning ConsultantCRD 6240798
Jerry Kirkpatrick
Investment Advisor Representative and Registered RepresentativeCRD 2785743
Melissa LaBrue
Registered RepresentativeCRD 5951018