State-registered wealth management firm Broker-dealer affiliated
Strategic Asset Planning
As of its Form ADV filed March 30, 2026, Strategic Asset Planning, a state-registered, broker-dealer affiliated wealth management firm in Gainesville, Florida, reported $41.2 million in regulatory assets under management across 114 accounts, ranking #855 among all wealth firms in Florida by assets.
Registration
- Main office
- Gainesville, FL
- Registration
- State-registered, Approved
- CRD number
- 304415
- SEC file number
- None (state-registered)
- Registered since
- September 19, 2019
- Latest Form ADV filing
- March 30, 2026
- Organized as
- Sole Proprietorship
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $41.2 million
- Discretionary
- $41.2 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 114 (114 discretionary)
- Clients
- 104, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $361,775
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $41.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Pension and profit sharing plans fewer than 5 clients | $20.4 million | |
| High net worth individuals 6 clients | $11.8 million | |
| Individuals (other than high net worth) 42 clients | $9.0 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 | |
| Corporations or other businesses fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
- Educational seminars or workshops
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Accountant or accounting firm
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
Custody (Item 9)
The firm reported custody of client cash or securities, $41.2 million in total.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
1 of the firm's 1 IAR is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Florida
| Firm | City | RAUM |
|---|---|---|
| Planned Financial Security | Haines City | $41.5 million |
| Pinelight Financial PLLC | Estero | $41.3 million |
| Ferris Wheel Finance, Inc. | Venice | $41.2 million |
| Formation Wealth Management | Ponte Vedra Beach | $41.1 million |
| CPA Group Investment Management, LLC | Panama City | $41.0 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Strategic Asset Planning on IAPD: Form ADV, brochures and disclosure detail.
- Wealth management firms in Florida
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.