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PLANVEST FINANCIAL, INC.

GAITHERSBURG, MD · CRD 290306 · IAPD ↗ · (301) 977-7123

$175.9MRegulatory AUM
6Advisory reps
8Employees
0Clients
1-10Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
April 2026 — PLANVEST FINANCIAL, INC. reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
62
April 2026 — PLANVEST FINANCIAL, INC. reported RAUM up 40% ($126.0M -> $175.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2026 — PLANVEST FINANCIAL, INC. now reports custody of client assets ($7.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
December 2025 — PLANVEST FINANCIAL, INC. notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
January 2025 — PLANVEST FINANCIAL, INC. notice-filed in DC, NC, NY, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
October 2024 — PLANVEST FINANCIAL, INC. (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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