Strategic Planning Group, Inc.
- Regulatory AUM
- $219M
- Discretionary
- $213M
- Clients
- 265
- Avg AUM / client
- $825K
- Accounts
- 724
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 187 | $61.5M | 28.2% |
| High net worth individuals | 78 | $157M | 71.8% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Alexander Rourke | President | Sep 2004 (22y) | 75% or more | |
| Jarrod Andrew Sherman | Chief Compliance Officer | Dec 2009 (17y) | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/17/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PROVIDING CONSULTING SERVICES TO THE COMPANY. AS A RESULT, THE FIRM, ROURKE, AND SHERMAN BREACHED THEIR FIDUCIARY DUTIES TO THE FIRM'S CLIENTS BY FAILING TO DISCLOSE THE RESULTING INHERENT CONFLICT OF INTEREST UNDER WHICH THEY HAD A POTENTIAL INCENTIVE TO INVEST CLIENTS' FUNDS IN ECOARK TO SUPPORT OR INCREASE ECOARK'S STOCK PRICE. Status: Final Sanction Detail: THE FIRM WAS FINED $225,000, WITH PAYMENTS TO BE MADE IN FIVE EQUAL INSTALLMENTS, WITH THE FINAL INSTALLMENT TO BE PAID 360 DAYS OF THE ENTRY OF THE ORDER. Summary: THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PROVIDING CONSULTING SERVICES TO THE COMPANY. AS A RESULT, THE FIRM, ROURKE, AND SHERMAN BREACHED THEIR FIDUCIARY DUTIES TO THE FIRM'S CLIENTS BY FAILING TO DISCLOSE THE RESULTING INHERENT CONFLICT OF INTEREST UNDER WHICH THEY HAD A POTENTIAL INCENTIVE TO INVEST CLIENTS' FUNDS IN ECOARK TO SUPPORT OR INCREASE ECOARK'S STOCK PRICE.
Allegations: THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PROVIDING CONSULTING SERVICES TO THE COMPANY. AS A RESULT, THE FIRM, ROURKE, AND SHERMAN BREACHED THEIR FIDUCIARY DUTIES TO THE FIRM'S CLIENTS BY FAILING TO DISCLOSE THE RESULTING INHERENT CONFLICT OF INTEREST UNDER WHICH THEY HAD A POTENTIAL INCENTIVE TO INVEST CLIENTS' FUNDS IN ECOARK TO SUPPORT OR INCREASE ECOARK'S STOCK PRICE. Status: Final Sanction Detail: FIRM WAS FINED $200,000 AND EACH OF MR.ROURKE AND MR. SHERMAN WERE FINED $75,000. IN ALL THREE CASES, PAYMENTS TO BE MADE IN FIVE EQUAL INSTALLMENTS, WITH THE FINAL INSTALLMENT TO BE PAID 360 DAYS OF THE ENTRY OF THE ORDER. Summary: THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PROVIDING CONSULTING SERVICES TO THE COMPANY. AS A RESULT, THE FIRM, ROURKE, AND SHERMAN BREACHED THEIR FIDUCIARY DUTIES TO THE FIRM'S CLIENTS BY FAILING TO DISCLOSE THE RESULTING INHERENT CONFLICT OF INTEREST UNDER WHICH THEY HAD A POTENTIAL INCENTIVE TO INVEST CLIENTS' FUNDS IN ECOARK TO SUPPORT OR INCREASE ECOARK'S STOCK PRICE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- RBC $219M (100% of AUM) Mar 2026
- Charles Schwab & Co. $139M (89% of AUM) Nov 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 17, 2026.
View current Form ADV (SEC/IAPD) ↗