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FINANCIAL PLANNING AND INFORMATION SERVICES, INC.

DE PERE, WI · CRD 113110 · IAPD ↗ · thefinplangroup.com · 920-336-0863

$1.08BRegulatory AUM
10Advisory reps
16Employees
119Clients
More than 500Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2025 — FINANCIAL PLANNING AND INFORMATION SERVICES, INC. (DE PERE, WI) left the SEC roster (was $1.08B RAUM, 10 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
70
April 2024 — FINANCIAL PLANNING AND INFORMATION SERVICES, INC. now reports custody of client assets ($694.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
76
April 2024 — FINANCIAL PLANNING AND INFORMATION SERVICES, INC. grew from 4 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2024 — FINANCIAL PLANNING AND INFORMATION SERVICES, INC. crossed $1B in regulatory AUM ($896.7M -> $1.08B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.