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ADVICE AND PLANNING SERVICES

NEW YORK, NY · CRD 20472 · IAPD ↗ · 212-490-9000

$37.93BRegulatory AUM
1020Advisory reps
1293Employees
35647Clients
More than 500Planning clients
0Private funds
53States
26Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — ADVICE AND PLANNING SERVICES shrank from 1041 to 1020 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — ADVICE AND PLANNING SERVICES shrank from 1115 to 1041 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — ADVICE AND PLANNING SERVICES added office(s): 137 -> 147 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
September 2024 — ADVICE AND PLANNING SERVICES's Item 11 disclosure-reporting entries rose by 1 (35 -> 36).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — ADVICE AND PLANNING SERVICES added office(s): 136 -> 137 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — ADVICE AND PLANNING SERVICES grew from 949 to 1115 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2024 — ADVICE AND PLANNING SERVICES's Item 11 disclosure-reporting entries rose by 4 (31 -> 35).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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