← Tributary

INVESTMENTS & FINANCIAL PLANNING, LLC

LEXINGTON, KY · CRD 164333 · IAPD ↗ · investfp.com · 859-543-8188

$318.7MRegulatory AUM
2Advisory reps
6Employees
15Clients
51-100Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
March 2026 — INVESTMENTS & FINANCIAL PLANNING, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
December 2025 — INVESTMENTS & FINANCIAL PLANNING, LLC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
March 2024 — INVESTMENTS & FINANCIAL PLANNING, LLC reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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