← Directory
ALPHA PLANNING AND FINANCIAL SERVICES, INC.
CRD 130842File 801-135159
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 11, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$112.8M
Bottom 25% of cohort (national)
Discretionary AUM
$112.8M
Clients
222
578 accounts
Employees
5
Bottom 25% of cohort in OH
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 15, 2026
- Principal office
- 31005 BAINBRIDGE ROAD, SUITE 6, SOLON, OH, 44139
- Phone
- 440-519-0300
- Website
- HTTP://WWW.ALPHAPLANNERS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $112.8M
- Discretionary AUM
- $112.8M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 578
- Non-discretionary accounts
- 0
- Total accounts
- 578
- AUM per client
- $508K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 26 | $52.6M |
| Pension and profit sharing plans | Fewer than 5 | $961K |
| Individuals (other than high net worth individuals) | 192 | $59.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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 11- Q11H1C
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.