Chief Compliance Officer · Financial Plan, Inc.
David A. Dick
CRD 4470567 · Named on Form ADV at one SEC-registered adviser
At a glance
Financial Plan, Inc., an SEC-registered wealth manager based in Bellingham, WA with $1.6 billion in regulatory assets, lists David A. Dick on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Financial Plan, Inc.Chief Compliance OfficerWealth manager · Bellingham, WA · $1.6B in regulatory assets
AtlasMembers
David’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- James B. TwiningChief Executive Officer, Financial Plan, Inc.
- William D. WolfChief Investment Officer, Financial Plan, Inc.
- Nathan J. TwiningChief Technology Officer, Financial Plan, Inc.
- Gabriel A. TwiningChief Personnel Officer, Financial Plan, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.