Investments & Financial Planning, Llc
- Regulatory AUM
- $319M
- Discretionary
- $319M
- Clients
- 751
- Avg AUM / client
- $424K
- Accounts
- 1,780
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 696 | $236M | 74.1% |
| High net worth individuals | 54 | $81.6M | 25.6% |
| Charitable organizations | 1 | $892K | 0.28% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Brian Short | Chief Compliance Officer/Managing Partner | CFP Chartered Financial Consultant | Jan 2012 (15y) | 50% – 75% |
| James Eric Mullins | Managing Partner | Jan 2012 (15y) | 50% – 75% | |
| Kenta Ito | Registered representative | Jun 2026 (0y) |
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) | 02/27/2026 | 896 KB | 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
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $302M (95% of AUM) Feb 2026
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: Feb 27, 2026.
View current Form ADV (SEC/IAPD) ↗