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THE WEALTHPLAN LLC

dba THE WEALTHPLAN LLC · CRD 306820 · Registered Investment Adviser

Civil/Other disclosure

THE WEALTHPLAN LLC is a Registered Investment Adviser headquartered in GREAT NECK, NY. The firm reports $87,476,559 in regulatory assets under management across 356 accounts. It reports 1 Form ADV Item 11 disciplinary disclosure(s) (Civil/Other).

Regulatory assets under management

Discretionary$84,085,594
Non-discretionary$3,390,965
Total RAUM$87,476,559
Accounts356

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 1 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)—
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 306820. adviserinfo.sec.gov/firm/summary/306820.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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