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FINANCIAL PLANS & STRATEGIES, INC.

GREENWOOD, IN · CRD 123793 · IAPD ↗ · finplans.com · 317-882-7675

$610.6MRegulatory AUM
5Advisory reps
12Employees
0Clients
More than 500Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
August 2026 — FINANCIAL PLANS & STRATEGIES, INC. now reports custody of client assets ($40.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — FINANCIAL PLANS & STRATEGIES, INC. crossed $500M in regulatory AUM ($460.5M -> $610.6M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
47
February 2026 — FINANCIAL PLANS & STRATEGIES, INC. notice-filed in IL, MI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
March 2025 — FINANCIAL PLANS & STRATEGIES, INC. notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — FINANCIAL PLANS & STRATEGIES, INC. notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — FINANCIAL PLANS & STRATEGIES, INC. crossed $500M in regulatory AUM ($431.3M -> $549.9M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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