Financial Planning First, Llc
- Regulatory AUM
- $114M
- Discretionary
- $113M
- Clients
- 296
- Avg AUM / client
- $385K
- Accounts
- 811
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 260 | $49.4M | 43.4% |
| High net worth individuals | 31 | $57.5M | 50.5% |
| Pension and profit sharing plans | 5 | $6.4M | 5.58% |
| Charitable organizations | Fewer than 5 clients | $561K | 0.49% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Matthew Paul Sullivan | Chief Compliance Officer | CFP | Apr 2022 (4y) | 75% or more |
| Gary Keith Imus | Registered representative | Jun 2022 (4y) | ||
| Juan C Pantoja | Registered representative | Jan 2023 (4y) |
Undisclosed: 0% – 25% 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) | 03/09/2026 | 1.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: NASD RULES 2110 AND 2310 - RESPONDENT MADE RECOMMENDATIONS FOR THE PURCHASE AND SALE OF SECURITIS TO PUBLIC CUSTOMERS THAT WERE UNSUITABLE FOR THOSE CUSTOMERS IN VIEW OF THE FREQUENCY OF THE RECOMMENDED TRANSACTIONS AND THE USE OF MARGIN IN CONNECTION WITH THOSE TRANSACTIONS. Status: Final Sanction Detail: 01/03/2000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MR. IMUS CONSENTED TO THE NASD REGULATION FINDINGS AND THE IMPOSITION OF A CENSURE AND A $17,000.00 FINE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $108M (94% of AUM) Mar 2026
- Principal Securities, Inc. $1.2M (2% of AUM) May 2023
- Adp Broker Dealer, Inc. $1.1M (2% of AUM) May 2023
- Cuna Brokerage Services, Inc. $471K (1% of AUM) May 2023
- Nationwide Securities, Llc $193K (0% of AUM) May 2023
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 09, 2026.
View current Form ADV (SEC/IAPD) ↗