The Financial Planning Company Llc
- Regulatory AUM
- $11.8M
- Discretionary
- $11.8M
- Clients
- 31
- Avg AUM / client
- $381K
- Accounts
- 31
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 22 | $2.4M | 20.7% |
| High net worth individuals | 9 | $9.4M | 79.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Tecolote Research, Inc. Money Purchase Pension Plan Tecolote Research, Inc. | 2024 | |
| The Minnesota Epilepsy Group, P.A. 401(k) Profit Sharing Plan Minnesota Epilepsy Group, Pa | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brewster Ruen Smith | Registered representative | CFP | Jan 2025 (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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tecolote Research, Inc. Money Purchase Pension Plan | Tecolote Research, Inc. | 632 | $210M | 06/01/2024 |
| The Minnesota Epilepsy Group, P.A. 401(k) Profit Sharing Plan | Minnesota Epilepsy Group, Pa | 146 | $11.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/20/2026 | 1.01 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Interactive Brokers $1.9M (16% 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 20, 2026.
View current Form ADV (SEC/IAPD) ↗