FINANCIAL PLAN, INC.

RIASEC RegisteredEst. 2012
Total AUM
$1.6B
Discretionary
$1.6B
100% of AUM
Avg account
$396K
Accounts
4,049
Employees
12
Advisory reps
12

Firm details

Headquarters
BELLINGHAM, Washington
CRD number
116073
Registered since
November 15, 2012
Website
financialplaninc.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI67.56%
  • Individuals31.87%
  • Charitable Organizations0.57%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Financial Plan, Inc. is an independent registered investment adviser that has been SEC-registered since 2012 and is owned by an individual. The firm serves both individual and family clients as well as institutional clients, focusing its advisory work on financial planning and portfolio management for individuals and small businesses. Its fees are charged as a percentage of assets under management and via hourly billing. The firm does not identify as an active ESG investor, does not operate as a capital allocator or related adviser, and is not registered as a multi-state adviser or pension consultant.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

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

Asset composition: Public Funds/Mutual Funds 92%, Exchange Traded Equities 3%, Cash & Cash Equivalents 2%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, Investment Grade Corp Bonds 1%92%
  • Public Funds/Mutual Funds92%
  • Exchange Traded Equities3%
  • Cash & Cash Equivalents2%
  • Non-Exchange Traded Equities1%
  • US Government Bonds1%

Owners & executives

2 of 2

  • JAMES TWINING

    Founder & CEOCRD 1225894

  • WILLIAM WOLF

    Chief Investment OfficerCRD 5759493

Contacts

3 of 10

  • ANDREW ZENDER

    Associate AdvisorCRD 7245389

  • NATHAN TWINING

    Lead AdvisorCRD 6142269

  • DAVID DICK

    Principal & Financial AdvisorCRD 4470567

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 70

Active vs passive

$941M in ETFs

Passive

17%

$164M

Active

83%

$777M

ETFProviderStyleCategoryValueShares% of portfolio
AVANTIS US EQUITY ETF (AVUS)AvantisActiveLarge Blend$155M1,393,95816.48%
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Location

Primary office

BELLINGHAM, WA

WHATCOM

Location

BELLINGHAM, WA

Headquartered in BELLINGHAM, WA, in the West of the United States.

Region
West
County
WHATCOM
Address
11 Bellwether Way
Time zone
PT (UTC-8)
Office locations

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