Investments & Financial Planning, LLC
● SEC registered since 2020CRD 164333SEC# 801-119021Lexington, KY
Reg. AUM
$318.7M
Employees
6
Accounts
1,780
Location
Lexington, KY
Investments & Financial Planning, LLC assets under management
Investments & Financial Planning, LLC is an investment advisory firm registered with the SEC based in Lexington, KY. The firm has been registered since 2020. It reports $318.7 million in regulatory assets under management and employs 6 people.
Investments & Financial Planning, LLC owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Brian Short Control | Chief Compliance Officer/Managing Partner | 50-75% | 2012 |
| James Eric Mullins | Managing Partner | 50-75% | 2012 |
Frequently asked questions
How much does Investments & Financial Planning, LLC manage?
Investments & Financial Planning, LLC reports $318.7 million in regulatory assets under management on its Form ADV.
How many employees does Investments & Financial Planning, LLC have?
Investments & Financial Planning, LLC reports 6 employees.
Where is Investments & Financial Planning, LLC located?
Investments & Financial Planning, LLC is based in Lexington, KY and has been SEC-registered since 2020.
Does Investments & Financial Planning, LLC disclose fund performance?
Investments & Financial Planning, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1795 Alysheba Way, Suite 7104, Lexington, KY 40509 |
| Phone | 859-543-8188 |
| Fax | 859-543-8242 |
| Office hours | 8 a.m.-5p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| CIK | 1909307 |
| Discloses disciplinary history | No |
Regulatory AUM
$318.7M▲ 14%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 60%
Larger than 40% of 16,271 advisers
EmployeesTop 56%
More than 44% of 16,825 advisers
Assets under management
$318.7Mregulatory AUM
Discretionary $318.7M