WEALTHPLAN INVESTMENT MANAGEMENT LLC

RIASEC RegisteredEst. 2020
Total AUM
$2.2B
Discretionary
$2.1B
98% of AUM
Avg account
$411K
Accounts
5,313
Employees
34
Advisory reps
31

Firm details

Headquarters
OMAHA, Nebraska
CRD number
311364
Registered since
December 18, 2020
Website
www.wealthplan.group
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI53.52%
  • Individuals32.75%
  • Pension & Profit Sharing Plans9.46%
  • Charitable Organizations2.8%
  • Corporations / Businesses1.28%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Wealthplan Investment Management LLC is an independent registered investment adviser organized as an LLC and operating as a capital allocator for both individual/family and institutional clients. The firm provides a range of advisory services including financial planning, discretionary portfolio management for individuals, small businesses, pooled investment vehicles and institutions, pension consulting, and the selection of third‑party advisers. Fee arrangements include AUM fees along with hourly and fixed-fee engagements. The adviser does not bill itself as an active ESG investor.

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

Asset composition: Public Funds/Mutual Funds 47%, Exchange Traded Equities 38%, Cash & Cash Equivalents 8%, Private Funds 4%, Investment Grade Corp Bonds 2%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%, Derivatives 1%, Other 1%47%
  • Public Funds/Mutual Funds47%
  • Exchange Traded Equities38%
  • Cash & Cash Equivalents8%
  • Private Funds4%
  • Investment Grade Corp Bonds2%

Owners & executives

3 of 5

  • ANN ZEMANN

    Chief Compliance OfficerCRD 2731611

  • MICHAEL BREWER

    Chief Strategy OfficerCRD 5546428

  • CHRISTOPHER SHEA

    Chief Investment OfficerCRD 4244023

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Contacts

3 of 26

  • MICHAEL SHEA

    Investment Adviser RepresentativeCRD 4863905

  • BRENT OMARA

    Sr. Wealth AdvisorCRD 4260408

  • Brenden Tauber

    Client Services AssociateCRD 7809793

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 317

Active vs passive

$1.1B in ETFs

Passive

60%

$673M

Active

32%

$451M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$81.8M125,1817.28%
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Location

Primary office

OMAHA, NE

DOUGLAS

Location

OMAHA, NE

Headquartered in OMAHA, NE, anchoring the Omaha-Council Bluffs-Fremont, NE-IA metro in the Midwest.

Metro area
Omaha-Council Bluffs-Fremont, NE-IA
Region
Midwest
County
DOUGLAS
Address
101 S 108th Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth