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Broker-dealer firm · Portsmouth, NH

Secure Planning

Secure Planning, LLC · SEC-registered investment adviser · CRD 42179 · SEC 801-55630

At a glance

Secure Planning is an SEC-registered investment adviser based in Portsmouth, New Hampshire, with $187 million in regulatory assets under management as of its Form ADV filed May 6, 2026. Its largest client group by assets is individuals, and it reports 529 individual clients. By Form ADV it is a broker-dealer firm, ranked 292nd of 391 broker-dealer firms and 12,583rd of 17,210 SEC-registered advisers by assets.

Main office 603-433-5515secureplanninginc.comLinkedInAs filed on Form ADV

Regulatory AUM
$187M
Rank among broker-dealer firms
#292 of 391
Rank among all SEC RIAs
#12,583 of 17,210
Rank in New Hampshire
#56 of 78
Individual clients
529
High-net-worth clients
19
Accounts
846
Discretionary
100% of AUM
Employees
5
Advisory staff
3
Offices
2

Owners and executives on its Form ADV

Custody and brokerage

2 custodians

  1. SEI$162M86%
  2. Charles Schwab$25M14%

Other RIAs using SEIOther multi-custodian RIAs

Broker-dealer

Hybrid RIA

Secure Planning is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer.

Its Form ADV brochure (filed March 2026) names IF Securities as the broker-dealer its advisers are registered with.

presentatives of SPI, the broker dealer, and place transactions through SPI; • If securities products offered by SPI are purchased through the Registered Representative of SPI, normal commissions and fees would be earned; thus, a conflict

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Individuals510$123M66%
High-net-worth individuals19$64M34%

Disciplinary disclosures

Secure Planning reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Financial planning
  • Portfolio management for individuals and small businesses

How it’s paid

  • A percentage of assets under management
  • Hourly charges
  • Fixed fees
  • Commissions

Form ADV and brochures on the SEC’s adviser search ↗secureplanninginc.com ↗

AtlasMembers

The full record on Secure Planning

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, ten years of filings
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Growth over one, three and five years
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Rank against 141 peers of its type and size
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Owners and executives, with titles and stakes
4 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Secure Planning manage?

Secure Planning reports $187 million in regulatory assets under management across 846 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 6, 2026.

What kind of firm is Secure Planning?

Secure Planning is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.

Who are Secure Planning’s clients?

By assets, its largest client types are individuals ($123 million, 510 clients); high-net-worth individuals ($64 million, 19 clients).

Does Secure Planning have any disciplinary history?

Secure Planning reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Secure Planning’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 (2026-05-06), 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 →