Jim Mackay Financial Planning, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 169583
· SEC file 801-132302
· Springfield, MO
· MACKAYFINANCIALPLANNING.COM
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ADV data as of Mar 27, 2026
- Regulatory AUM
- $176M
- Discretionary
- $164M
- Clients
- 71
- Avg AUM / client
- $2.5M
- Accounts
- 384
- Employees
- 2
AUM over time
$140M
$176M
Dec 2024
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 33 | $18.5M | 10.5% |
| High net worth individuals | 35 | $133M | 75.3% |
| Charitable organizations | 3 | $25.0M | 14.2% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Lewis Mackay | Registered representative | CFP | Dec 2013 (13y) | |
| Nathan Gertson | Registered representative | Aug 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) | 03/27/2026 | 905 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Truist Financial Corp $105M (60% of AUM) Mar 2026
- Altruist Financial $105M (60% of AUM) Mar 2026
- Vanguard Marketing Corporation $30.8M (17% of AUM) Mar 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: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗