SourcingSourcing

MARK SHEPTOFF FINANCIAL PLANNING LLC

C49
CRD 108742·SEC 801-57744·GLASTONBURY, CT
AUM
$466.5M
$100M-$500M
Est. Revenue
$4.7M
@ 1% on AUM
Est. EBITDA
$1.4M
@ 30% margin
Est. Deal Value
$11.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
MARK SHEPTOFF FINANCIAL PLANNING LLC
CRD
108742
SEC file #
801-57744
EIN
061493649
DBA names
—

Economics

AUM
$466.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$315.6M → $466.5M▲ +48%
Client mix
Individuals Other135
Individuals High Net Worth100
Pension Profit Sharing Plans10
Corporations7

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
GLASTONBURY CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
marksheptoff.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHEPTOFF, MARK, A
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SHEPTOFF, MARK, A
SHEPTOFF, JEAN, CATHERINE
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
MARKSHEPTOFF.COM
Rdap Domain Creation Date
2003-09-10T15:10:15Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001607355
Edgar Registered
Yes
Edgar Filing Count
49
Edgar First Filing Date
2014-05-09
Edgar Last Filing Date
2026-05-11
Edgar 13f Count
49
Edgar 13f Latest AUM Estimate
Filing Date2026-05-11
Accession0001214659-26-005887

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
703 HEBRON AVE.3RD FLOORGLASTONBURY, CT 06033
Business
703 HEBRON AVE.3RD FLOORGLASTONBURY, CT 06033
Edgar EIN
061493649
Edgar Recent Filings
13F-HR2026-05-11 · 0001214659-26-005887
13F-HR2026-02-12 · 0001214659-26-001538
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-09-10T15:10:15Z
Rdap Domain Last Changed
2024-06-25T21:19:43Z
Rdap Nameservers
Ns61.worldnic.comNs62.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
4634537
Trust Company Affiliate
No

People (2)

2
MARK A SHEPTOFF
Direct Owner · 87.5%
4634537
SHEPTOFF, JEAN, CATHERINE
Direct Owner · 17.5%
4807187