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PLATO'S PHILOSOPHY, LLC

VENTURA, CA · CRD 319564 · IAPD ↗ · stockhack.com · 805-888-2024

$39.4MRegulatory AUM
1Advisory reps
4Employees
0Clients
11-25Planning clients
0Private funds
1States
3Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

50
March 2025 — PLATO'S PHILOSOPHY, LLC (VENTURA, CA) left the SEC roster (was $39.4M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
40
January 2025 — PLATO'S PHILOSOPHY, LLC shrank from 4 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
64
November 2024 — PLATO'S PHILOSOPHY, LLC reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
November 2024 — PLATO'S PHILOSOPHY, LLC grew from 1 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
November 2024 — PLATO'S PHILOSOPHY, LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
40
June 2024 — PLATO'S PHILOSOPHY, LLC shrank from 5 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
61
April 2024 — PLATO'S PHILOSOPHY, 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.