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FINANCIAL PLAN, INC.

BELLINGHAM, WA · CRD 116073 · IAPD ↗ · 360-714-1234

$1.60BRegulatory AUM
11Advisory reps
12Employees
26Clients
26-50Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2026 — FINANCIAL PLAN, INC. notice-filed in AK, KS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
66
April 2026 — FINANCIAL PLAN, INC. reported RAUM up 30% ($1.23B -> $1.60B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
72
April 2026 — FINANCIAL PLAN, INC. grew from 9 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
63
April 2025 — FINANCIAL PLAN, INC. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — FINANCIAL PLAN, INC. now reports custody of client assets ($2.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
March 2024 — FINANCIAL PLAN, INC. crossed $1B in regulatory AUM ($845.1M -> $1.05B).
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.