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PLANMEMBER SECURITIES CORPORATION
CRD 11869File 801-39177
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$10.12B
Top 10% of cohort (national)
Discretionary AUM
$10.12B
Clients
69,645
69,645 accounts
Employees
429
Top 10% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jun 27, 1991
- Principal office
- 6267 CARPINTERIA AVENUE, CARPINTERIA, CA, 93013
- Phone
- 805-684-1199
- Website
- HTTP://WWW.PLANMEMBER.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $10.12B
- Discretionary AUM
- $10.12B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 69,645
- Non-discretionary accounts
- 0
- Total accounts
- 69,645
- AUM per client
- $145K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 56 | $21.5M |
| Charitable organizations | 22 | $7.7M |
| High net worth individuals | 898 | $1.48B |
| Pension and profit sharing plans | 126 | $900.0M |
| Individuals (other than high net worth individuals) | 68,543 | $7.71B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- 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
- Yes
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 432 | 429 | decreased by3 |
| Apr 1, 2026 | Clients | 68,678 | 69,645 | increased by967 |
| Apr 1, 2026 | AUM | $9,035,509,268 | $10,120,552,229 | increased by$1,085,042,961 |
| Apr 1, 2026 | Accounts | 68,978 | 69,645 | increased by667 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 319 | 432 | increased by113 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 64,132 | 68,678 | increased by4,546 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $8,217,513,744 | $9,035,509,268 | increased by$817,995,524 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 64,132 | 68,978 | increased by4,846 |
| Sep 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Employees | 270 | 319 | increased by49 |
| Apr 1, 2022 | Clients | 59,794 | 64,132 | increased by4,338 |
| Apr 1, 2022 | AUM | $6,186,801,050 | $8,217,513,744 | increased by$2,030,712,694 |
| Apr 1, 2022 | Accounts | 59,794 | 64,132 | increased by4,338 |
| 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 “PLANMEMBER SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PLANMEMBER SECURITIES” 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.