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FINANCIAL PLAN, INC.
CRD 116073File 801-77339
APPROVED
Retail clients
Custody
Filing as of Mar 16, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.60B
Top 25% of cohort (national)
Discretionary AUM
$1.60B
Clients
924
4,049 accounts
Employees
12
Top 25% of cohort in WA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Nov 15, 2012
- Principal office
- 11 BELLWETHER WAY, SUITE 301, BELLINGHAM, WA, 98225-2956
- Phone
- 360-714-1234
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.60B
- Discretionary AUM
- $1.60B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 4,049
- Non-discretionary accounts
- 0
- Total accounts
- 4,049
- AUM per client
- $1.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 19 | $9.2M |
| High net worth individuals | 309 | $1.08B |
| Individuals (other than high net worth individuals) | 596 | $511.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 16 | 12 | decreased by4 |
| Apr 1, 2026 | Clients | 846 | 924 | increased by78 |
| Apr 1, 2026 | AUM | $1,230,502,053 | $1,604,659,908 | increased by$374,157,855 |
| Apr 1, 2026 | Accounts | 3,742 | 4,049 | increased by307 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 14 | 16 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 663 | 846 | increased by183 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $935,880,675 | $1,230,502,053 | increased by$294,621,378 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,207 | 3,742 | increased by535 |
| Apr 1, 2022 | Employees | 12 | 14 | increased by2 |
| Apr 1, 2022 | Clients | 656 | 663 | increased by7 |
| Apr 1, 2022 | AUM | $713,018,175 | $935,880,675 | increased by$222,862,500 |
| Apr 1, 2022 | Accounts | 2,904 | 3,207 | increased by303 |
| Sep 1, 2021 | Disclosures | Yes | No | |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FINANCIAL PLAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FINANCIAL PLAN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.