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INVESTMENTS & FINANCIAL PLANNING, LLC
CRD 164333File 801-119021
APPROVED
Retail clients
Filing as of Feb 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$318.7M
Below cohort median (national)
Discretionary AUM
$318.7M
Clients
751
1,780 accounts
Employees
6
Below cohort median in KY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jul 14, 2020
- Principal office
- 1795 ALYSHEBA WAY, SUITE 7104, LEXINGTON, KY, 40509
- Phone
- 859-543-8188
- Website
- https://www.investfp.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $318.7M
- Discretionary AUM
- $318.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,780
- Non-discretionary accounts
- 0
- Total accounts
- 1,780
- AUM per client
- $424K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $892K |
| High net worth individuals | 54 | $81.6M |
| Individuals (other than high net worth individuals) | 696 | $236.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 735 | 751 | increased by16 |
| Mar 1, 2026 | AUM | $278,443,881 | $318,664,226 | increased by$40,220,345 |
| Mar 1, 2026 | Accounts | 1,714 | 1,780 | increased by66 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 6 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 625 | 735 | increased by110 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $223,016,793 | $278,443,881 | increased by$55,427,088 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 625 | 1,714 | increased by1,089 |
| Apr 1, 2022 | Employees | 6 | 5 | decreased by1 |
| Apr 1, 2022 | Clients | 456 | 625 | increased by169 |
| Apr 1, 2022 | AUM | $159,084,523 | $223,016,793 | increased by$63,932,270 |
| Apr 1, 2022 | Accounts | 943 | 625 | decreased by318 |
| 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 “INVESTMENTS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“INVESTMENTS FINANCIAL” 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.