Sequent Planning, LLC

RIASEC RegisteredEst. 2018
Total AUM
$589M
Discretionary
$528M
90% of AUM
Avg account
$98K
Accounts
6,015
Employees
102
Advisory reps
96

Firm details

Headquarters
Omaha, Nebraska
CRD number
160381
Registered since
September 10, 2018
Website
www.sequentplanning.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • Individuals86.28%
  • HNWI13.72%
Services
Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Sequent Planning, LLC is an independent registered investment adviser that began SEC registration in 2018 and operates as a limited liability company. The firm serves individuals and families, offering financial planning, portfolio management for individuals and small businesses, pension consulting support, manager selection, newsletters and educational seminars. It identifies as a capital allocator, which suggests it sources and places client capital with third-party managers in addition to managing public-market portfolios. The firm charges clients via a mix of percentage-of-AUM fees plus hourly and fixed-fee arrangements, allowing flexibility across planning and investment engagements. Sequent is not identified as an active ESG investor in its snapshot information.

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: Public Funds/Mutual Funds 80%, Exchange Traded Equities 12%, Cash & Cash Equivalents 4%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Other 1%80%
  • Public Funds/Mutual Funds80%
  • Exchange Traded Equities12%
  • Cash & Cash Equivalents4%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

3 of 5

  • Dennis Zaderaka

    Chief Compliance OfficerCRD 706589

  • Andrea Butler

    Andrea Butler

    Chief Compliance OfficerCRD 5065433

  • Roger Malcolm

    Roger Malcolm

    President, CEOCRD 3002268

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Contacts

3 of 91

  • David Swiderski

    Registered RepresentativeCRD 4167812

  • Daniel Zeiger

    Investment Advisor RepresentativeCRD 4434418

  • Jerry Johnson

    Investment Advisor RepresentativeCRD 1123678

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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 272

Active vs passive

$512M in ETFs

Passive

63%

$323M

Active

31%

$189M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE US AGGREGATE BOND ETF (AGG)BlackRockPassiveIntermediate Core Bond$31M313,2246.06%
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Location

Primary office

Omaha, NE

Douglas

Location

Omaha, NE

Headquartered in Omaha, NE, anchoring the Omaha-Council Bluffs-Fremont, NE-IA metro in the Midwest.

Metro area
Omaha-Council Bluffs-Fremont, NE-IA
Region
Midwest
County
Douglas
Address
8420 W Dodge Rd
Time zone
CT (UTC-6)
Office locations

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