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Investments & Financial Planning, LLC

Investments & Financial Planning, LLC. CRD 164333

Investments & Financial Planning, LLC logo

CRD: 164333

Investments & Financial Planning, LLC

Lexington, KY, 40509
8595438188
www.investfp.com
$318.7M Total AUM
$318.7M Disc. AUM
-- 3Y CAGR
6 Employees
766 ADV. Clients
14 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company
Clients
Retail and Institutional
Platforms
--
Established Date
06-28-2012
Office Locations
1

Office Locations

1795 Alysheba WAY Suite 7104 Lexington KY

About Investments & Financial Planning, LLC

Investments & Financial Planning, LLC is a predominantly fee-based RIA providing full-service financial planning and investment management for individuals, families, and business owners/entrepreneurs. The team emphasizes helping clients navigate complex bank, broker-dealer, and insurance offerings and make informed decisions. The firm is associated with Charles Schwab custody and uses platforms such as Orion and Pontera, and also runs retirement-focused education webinars.

Team overview

-- AVG AGE
$159.3M AVG AUM / ADVISOR
$416.0K AVG AUM / CLIENT
9.4 yrs AVG TENURE
6 Employees
2 Advisory Reps
2 RIA Reps
14yrs Firm Age

Insights

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Asset Classes

Harbor

Client Personas

Delta

Custodian

Ridge Eagle prime

Investment Themes

Horizon

Investment Vehicles

Focus quantum

Platform

Radial Vital

Services

Focus Alpha momentum Matrix Frontier alpha Frontier Frontier Radial pioneer Beacon zenith

Owner & Executives

J

JAMES ERIC MULLINS

Financial Advisor, General Partner, Managing Partner

CRD
#4548105
Ownership
50% but less than 75%
(460) 327-8644
vertex.unison@harborcapital.com
in linkedin.com/in/atlas-bridge
DAVID BRIAN SHORT

DAVID BRIAN SHORT

Chief Compliance Officer, Financial Advisor, General Partner, Managing Partner

CRD
#4521911
Ownership
50% but less than 75%
(396) 459-6891
delta.catalyst@embercapital.com
in linkedin.com/in/ember-beacon

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Contacts

K

Kenta Ito

--

CRD
#8291884
(747) 256-7292
glacier.glacier@deltacapital.com
in linkedin.com/in/harbor-focus

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
03-14-2022
09-05-2023
05-31-2024
08-21-2025
02-27-2026
Category Assets AVG. Account size
Discretionary $318,664,226 $179,025
Non-Discretionary $0 --
Total $318,664,226 $179,025

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Separately Managed Accounts

Total SMA Asset: $318,664,226

$318.7M Total SMA
Equity - Exchange:
27.4%
Public Funds:
39.8%
Cash:
32.8%
Asset class Assets Assets %
Equity - Exchange $423,570,336 27.4%
Public Funds $615,259,101 39.8%
Cash $507,047,701 32.8%
Total $1,545,877,138 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
PRIME BEACON FRONTIER MATRIX 2YG9UVLH1 MAUGB 8.82% $1,452,697
MATRIX PEAK VERTEX UNISON RRL6ID6T1 MYHV 8.00% $64,411,436
MATRIX GLACIER DELTA FRONTIER BDE805WJN EKVM 12.45% $88,567,002
VERTEX MATRIX FOCUS SIGNAL EMBER TTWJ8CPNY VLQEQ 5.49% $36,510,661
PEAK CAPITAL NORTH NORTH O1PLM39NO SFS 5.56% $15,389,563
LEGACY ALPHA GLACIER RIDGE FHNT29L3O NDHA 11.47% $90,177,355
VALUE SUMMIT NORTH DELTA RIDGE X9K8BSIIK HZI 10.64% $27,367,078
FUSION VALUE ALPHA QUANTUM V226YL0XO ENV 3.29% $65,795,802

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