Alpha Planning And Financial Services, Inc.
- Regulatory AUM
- $113M
- Discretionary
- $113M
- Clients
- 222
- Avg AUM / client
- $508K
- Accounts
- 578
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 192 | $59.2M | 52.5% |
| High net worth individuals | 26 | $52.6M | 46.7% |
| Pension and profit sharing plans | 4 | $961K | 0.85% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Aaron Royce Simpson | Registered representative | CFP Chartered Financial Consultant | May 2018 (8y) | |
| John Taylor Goodson | Registered representative | Feb 2024 (2y) |
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) | 06/11/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $113M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jun 11, 2026.
View current Form ADV (SEC/IAPD) ↗