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FINANCIAL PLANS & STRATEGIES, INC.
CRD 123793File 801-107206
APPROVED
Retail clients
Custody
Filing as of Jul 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$610.6M
Above cohort median (national)
Discretionary AUM
$601.4M
Non-discretionary $9.2M
Clients
1,081
1,081 accounts
Employees
12
Above cohort median in IN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 27, 2016
- Principal office
- 375 N. MADISON AVENUE, GREENWOOD, IN, 46142-3636
- Phone
- 317-882-7675
- Website
- HTTP://WWW.FINPLANS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $610.6M
- Discretionary AUM
- $601.4M
- Non-discretionary AUM
- $9.2M
- Discretionary accounts
- 1,073
- Non-discretionary accounts
- 8
- Total accounts
- 1,081
- AUM per client
- $565K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 185 | $402.6M |
| Individuals (other than high net worth individuals) | 896 | $208.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- 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
- No
- 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 |
|---|---|---|---|---|
| Aug 1, 2026 | Custody | No | Yes | |
| Apr 1, 2026 | Employees | 5 | 12 | increased by7 |
| Apr 1, 2026 | Clients | 827 | 1,081 | increased by254 |
| Apr 1, 2026 | AUM | $460,473,907 | $610,600,630 | increased by$150,126,723 |
| Apr 1, 2026 | Accounts | 827 | 1,081 | increased by254 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 5 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,686 | 827 | decreased by859 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $620,257,856 | $460,473,907 | decreased by$159,783,949 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,686 | 827 | decreased by859 |
| Apr 1, 2022 | Clients | 2,156 | 1,686 | decreased by470 |
| Apr 1, 2022 | AUM | $500,233,986 | $620,257,856 | increased by$120,023,870 |
| Apr 1, 2022 | Accounts | 2,160 | 1,686 | decreased by474 |
| 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 PLANS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FINANCIAL PLANS” 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.