Applied Financial Planning, Inc

CRD#136834
Investment Advisor Firm

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Overview

Applied Financial Planning, Inc operates as a financial advisory company based in Irvine, California. Applied Financial Planning, Inc has a small team of 12 employees, four of whom are financial advisors. Applied Financial Planning, Inc is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its accounts and those of its customers and instead is required to go through a broker-dealer firm to do so. Securities are exchangable fiscal assets such as bonds, options and equities.

Under $100,000 of its financial planning investments were in securities, with under $100,000 placed in non-securities.

Applied Financial Planning, Inc's central office is located at 100 Pacifica #400, Irvine, California 92618. It is legally allowed to serve customers in the state of California.

Editorial note: In some cases, advisors and firms can register as exempt reporting advisors with the SEC, meaning they file an abbreviated version of the Form ADV. As a result, this is all of the available information for Applied Financial Planning, Inc. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

4

Disclosures

No

Office Location

100 Pacifica #400
Irvine, CA 92618

Applied Financial Planning, Inc by the Numbers

Total Number of Employees

12

National Average: 29

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Products and Services

Services offered by Applied Financial Planning, Inc can include financial planning services. However, Applied Financial Planning, Inc did not provide any of its clients with financial planning services in the prior financial year. It is engaged in selling products or offering services different than investment advisory services to its customers. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer and insurance company or agency.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

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    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Financial advisory fees usually depend on the services provided. Fees billed by the company typically consist of the following fee types: hourly. The company does not participate in a wrap fee program, in which the company offers a service bundle for a single fee.

Available

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

Unavailable

  • Find one of the 74% of firms that offer this fee type

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Disclosures

Applied Financial Planning, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA