GAINPLAN LLC

RIASEC RegisteredEst. 2015
Total AUM
$462M
Discretionary
$397M
86% of AUM
Avg account
$310K
Accounts
1,491
Employees
12
Advisory reps
8

Firm details

Headquarters
Bloomfield Hills, Michigan
CRD number
174427
Registered since
April 1, 2015
Website
www.gainplanners.com
Custodians
CHARLES SCHWAB & CO., INC., THE VANGUARD GROUP, INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI71.2%
  • Pension & Profit Sharing Plans13.91%
  • Individuals13.54%
  • Charitable Organizations1.03%
  • Corporations / Businesses0.32%
Services
Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Gainplan LLC is an independent, SEC-registered RIA (registered in 2015) owned by an individual and serving both high-net-worth individuals and institutional clients. The firm offers a mix of financial planning, portfolio management for individuals and small businesses, and pension consulting services. Fee arrangements are flexible and include percentage-of-AUM billing, hourly charges and fixed fees. Gainplan is not positioned as a capital allocator and does not describe itself as an active ESG investor. Investment activity shows a clear operational emphasis on liquid, exchange-traded instruments for portfolio implementation, paired with targeted use of alternative exposures. The firm lists affiliations with a law firm and an insurance company, which can support estate, tax and risk-transfer work alongside investment management.

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

Asset composition: Exchange Traded Equities 37%, Public Funds/Mutual Funds 37%, Cash & Cash Equivalents 23%, US Government Bonds 1%37%
  • Exchange Traded Equities37%
  • Public Funds/Mutual Funds37%
  • Cash & Cash Equivalents23%
  • US Government Bonds1%

Owners & executives

3 of 3

  • WAYNE BELL-WARREN

    Chief Compliance OfficerCRD 4078646

  • JEFFREY IVORY

    Founder & Chief Exceutive OfficerCRD 4849910

  • DAVID MARTIN

    Chief Investment OfficerCRD 2559344

Contacts

3 of 5

  • BENJAMIN KLAMO

    Portfolio Manager and Investment CommitteeCRD 4751521

  • Patrick Nalepa

    Relationship ManagerCRD 7646006

  • ERIK ROTHENHAUSER

    Operations ManagerCRD 5356159

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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 42

Active vs passive

$132M in ETFs

Passive

50%

$66.4M

Active

50%

$65.3M

ETFProviderStyleCategoryValueShares% of portfolio
PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND (MINT)PIMCOActiveUltrashort Bond$52.5M522,35439.89%
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Location

Primary office

Bloomfield Hills, MI

OAKLAND

Location

Bloomfield Hills, MI

Headquartered in Bloomfield Hills, MI, anchoring the Detroit-Warren-Ann Arbor, MI metro in the Midwest.

Metro area
Detroit-Warren-Ann Arbor, MI
Region
Midwest
County
OAKLAND
Address
800 W Long Lake Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth