Wealthplan Investment Management LLC

RIASEC RegisteredEst. 2020
Total AUM
$2.2B
Discretionary
$2.1B
98% of AUM
Avg account
$411K
Accounts
5,313
Employees
34
Advisory reps
31

Firm details

Headquarters
Omaha, Nebraska
CRD number
311364
Registered since
December 18, 2020
Website
www.wealthplan.group
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI53.52%
  • Individuals32.75%
  • Pension & Profit Sharing Plans9.46%
  • Charitable Organizations2.8%
  • Corporations / Businesses1.28%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Wealthplan Investment Management LLC is an independent registered investment adviser organized as an LLC and registered with the SEC since 2020. The firm describes itself as a capital allocator that serves both individual/family clients and institutional accounts. Its billing methods include percentage-of-AUM fees as well as hourly and fixed-fee arrangements. Core advisory services listed on its filings include financial planning, portfolio management for individuals, small businesses and pooled vehicles, portfolio services for institutions and businesses, pension consulting among other line items, and the selection of third‑party advisers. The firm does not identify as an active ESG investor.

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 47%, Exchange Traded Equities 38%, Cash & Cash Equivalents 8%, Private Funds 4%, Investment Grade Corp Bonds 2%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%, Derivatives 1%, Other 1%47%
  • Public Funds/Mutual Funds47%
  • Exchange Traded Equities38%
  • Cash & Cash Equivalents8%
  • Private Funds4%
  • Investment Grade Corp Bonds2%

Owners & executives

3 of 4
  • Michael Brewer

    Michael Brewer

    Chief Strategy OfficerCRD 5546428

  • Christopher Shea

    Christopher Shea

    Chief Investment OfficerCRD 4244023

  • Sarah McLean

    Sarah McLean

    Chief Operations OfficerCRD 5321533

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Contacts

3 of 27
  • Michael Shea

    Michael Shea

    Investment Adviser RepresentativeCRD 4863905

  • Brent Omara

    Brent Omara

    Sr. Wealth AdvisorCRD 4260408

  • Brenden Tauber

    Brenden Tauber

    Client Services AssociateCRD 7809793

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 310

Active vs passive

$1.3B in ETFs

Passive

60%

$772M

Active

31%

$510M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$112M149,3018.72%
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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
101 S 108th Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth