Wealth manager, wrap-program sponsor · Solon, OH
Alpha Planning and Financial Services, Inc.
SEC-registered investment adviser · CRD 130842 · SEC 801-135159
At a glance
Alpha Planning and Financial Services, Inc. is an SEC-registered investment adviser based in Solon, Ohio, with $113 million in regulatory assets under management as of its Form ADV filed September 4, 2026. Its largest client group by assets is individuals, and it reports 218 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 7,935th of 8,915 wealth managers and 15,000th of 17,210 SEC-registered advisers by assets.
Main office 440-519-0300alphaplanners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $113M
- Rank among wealth managers
- #7,935 of 8,915
- Rank among all SEC RIAs
- #15,000 of 17,210
- Rank in Ohio
- #379 of 403
- Individual clients
- 218
- High-net-worth clients
- 26
- Accounts
- 578
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Aaron R. SimpsonPresident and Chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 192 | $59M | 52% |
| High-net-worth individuals | 26 | $53M | 47% |
| Pension and profit sharing plans | 4 | $1M | <1% |
Disciplinary disclosures
Alpha Planning and Financial Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗alphaplanners.com ↗
AtlasMembers
The full record on Alpha Planning and Financial Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 4,611 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Alpha Planning and Financial Services, Inc. manage?
Alpha Planning and Financial Services, Inc. reports $113 million in regulatory assets under management across 578 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 4, 2026.
What kind of firm is Alpha Planning and Financial Services, Inc.?
Alpha Planning and Financial Services, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Alpha Planning and Financial Services, Inc.’s clients?
By assets, its largest client types are individuals ($59 million, 192 clients); high-net-worth individuals ($53 million, 26 clients); pension and profit sharing plans ($960,859, 4 clients).
Does Alpha Planning and Financial Services, Inc. have any disciplinary history?
Alpha Planning and Financial Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Alpha Planning and Financial Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-04), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →