INVESTMENT MANAGEMENT & PLANNING LLC

RIASEC RegisteredEst. 2016
Total AUM
$239M
Discretionary
$239M
100% of AUM
Avg account
$327K
Accounts
731
Employees
3
Advisory reps
3

Firm details

Headquarters
GREENVILLE, Delaware
CRD number
146041
Registered since
April 4, 2016
Custodians
LPL FINANCIAL LLC
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI83.78%
  • Individuals14.54%
  • Pension & Profit Sharing Plans1.36%
  • Corporations / Businesses0.31%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Investment Management & Planning LLC is an independent, individual-owned registered investment adviser formed in 2016 that combines financial planning, portfolio management for individuals and small businesses, and insurance brokerage. The firm serves both individual/family and institutional clients and charges clients primarily by a percentage of assets under management with the option of hourly billing. It is not positioned as an ESG-focused manager and is not identified as a multi-state adviser in regulatory disclosures.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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 81%, Exchange Traded Equities 15%, Cash & Cash Equivalents 3%, US Government Bonds 1%81%
  • Public Funds/Mutual Funds81%
  • Exchange Traded Equities15%
  • Cash & Cash Equivalents3%
  • US Government Bonds1%

Contacts

3 of 3
  • HOWARD RICHARDSON

    Founding Partner and PresidentCRD 2175911

  • JOHN ABOOD

    Registered RepresentativeCRD 2629855

  • JEFFREY MACDONALD

    Registered RepresentativeCRD 5491845

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

GREENVILLE, DE

NEW CASTLE

Location

GREENVILLE, DE

Headquartered in GREENVILLE, DE, anchoring the Philadelphia-Reading-Camden, PA-NJ-DE-MD metro in the South.

Metro area
Philadelphia-Reading-Camden, PA-NJ-DE-MD
Region
South
County
NEW CASTLE
Address
20 Montchanin Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth