RIA Intel›Advisers›New York›ASSET & FINANCIAL PLANNING, LTD

ASSET & FINANCIAL PLANNING, LTD

Advisory

N·POUGHKEEPSIE, NY

Data as of Mar 12, 2014 · Source: SEC Form ADV

Total AUM

$317M

1-Year AUM Growth

-30.5%

3-Year CAGR

-10.7%

Employees

90

Assets Under Management

Total AUM$317M

Discretionary AUM$317M

Non-Discretionary AUM$0

Discretionary %100%

Total Clients—

Team

Total Employees90

Investment Advisers90

Employee Growth (1Y)—

Filing History

Total Filings on Record56

First FilingApr 25, 2001

Latest FilingMar 12, 2014

🔒 Full AUM trend chart and 56 historical filings spanning 13+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on ASSET & FINANCIAL PLANNING, LTD

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.