Avantax Planning Partners, Inc.

RIASEC RegisteredEst. 1996

Total AUM

$7.6B

Discretionary

$7.6B

100% of AUM

Avg account

$549K

Accounts

13,797

Employees

261

Advisory reps

267

Firm details

Headquarters: Dubuque, Iowa
CRD number: 106237
Registered since: January 17, 1996
Website: www.avantax.com
Custodians: CHARLES SCHWAB & CO., INC., FIDELITY PERSONAL TRUST COMPANY
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI47.33%
Pension & Profit Sharing Plans28.56%
Individuals21.44%
Corporations / Businesses2.02%
Charitable Organizations0.66%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Avantax Planning Partners, Inc. is a corporate-structured investment adviser that serves both individual/family clients and institutional accounts. The firm combines financial planning, portfolio management for individuals and small businesses, pension consulting and selection of other advisers with insurance brokerage capabilities. Its adviser role is capital-allocating: it constructs portfolios and places client assets with external managers and custodians rather than acting solely as a product distributor. Fee arrangements include asset-based fees, hourly charges and fixed-fee engagements. Avantax Planning Partners was recognized by FA Magazine as a Top RIA Firms honoree in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Public Funds/Mutual Funds83%
Exchange Traded Equities8%
Cash & Cash Equivalents5%
State & Local Bonds2%
US Government Bonds1%

Owners & executives

3 of 9

Kristy Haley
Chief Compliance OfficerCRD 4022155
Matthew Bregozzo
Chief Compliance OfficerCRD 5881295
Lisa Gok
Chief Legal OfficerCRD 5059738

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Contacts

3 of 258

Nicole Boren
Financial Planning ConsultantCRD 6240798
Jerry Kirkpatrick
Investment Advisor Representative and Registered RepresentativeCRD 2785743
Melissa LaBrue
Registered RepresentativeCRD 5951018