INVESTMENTS & FINANCIAL PLANNING, LLC
Firm details
- Headquarters
- Lexington, Kentucky
- CRD number
- 164333
- Registered since
- July 14, 2020
- Website
- www.investfp.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- Individuals74.11%
- HNWI25.61%
- Charitable Organizations0.28%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingEducational Seminars / Workshops
Firm profile
FINTRXOverview
Investments & Financial Planning, LLC is an independent Registered Investment Adviser organized as an LLC and SEC-registered in 2020. The firm is individually owned and serves both individual/family and institutional clients. Its fee models include percentage-of-AUM billing as well as hourly and fixed-fee arrangements. Core advisory services listed on the ADV are financial planning, portfolio management for individuals and small businesses as well as for businesses or institutions, pension consulting, and educational seminars/workshops. The adviser is not positioned as a capital allocator and does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds94%
- Exchange Traded Equities4%
- Cash & Cash Equivalents2%
Contacts
2 of 2DAVID SHORT
Managing Partner, Financial AdvisorCRD 4521911
JAMES MULLINS
Managing Partner, Financial AdvisorCRD 4548105
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 34Active vs passive
$223M in ETFs
90%
$201M
9%
$22M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD SMALL-CAP INDEX FUND (VB) | Vanguard | Passive | Small Blend | $39M | 148,729 | 17.50% |
Location
Lexington, KY
FAYETTE
Location
Lexington, KY
Headquartered in Lexington, KY, anchoring the Lexington-Fayette--Richmond--Frankfort, KY metro in the South.
- Metro area
- Lexington-Fayette--Richmond--Frankfort, KY
- Region
- South
- County
- FAYETTE
- Address
- 1795 Alysheba Way
- Time zone
- CT (UTC-6)
- Office locations
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