SourcingSourcing

FIDELIS FINANCIAL PLANNING, LLC

B62
CRD 141698·SEC 801-131701·SAINT CHARLES, MO
AUM
$160.0M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$480K
@ 30% margin
Est. Deal Value
$3.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FIDELIS FINANCIAL PLANNING, LLC
CRD
141698
SEC file #
801-131701
EIN
825103370
DBA names
—

Economics

AUM
$160.0M
AUM band
$100M-$500M
AUM trajectory
'25'26
$142.0M → $160.0M▲ +13%
Client mix
Individuals Other89
Individuals High Net Worth60

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'25'26
2 advisors → 1 advisors▼ -50%
Primary office
SAINT CHARLES MO
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LAUGHLIN, JEFFREY, MICHAEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
LAUGHLIN, JEFFREY, MICHAEL
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
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001739521
Edgar Registered
Yes
Edgar Filing Count
3
Edgar First Filing Date
2018-05-11
Edgar Last Filing Date
2019-05-13
Edgar Form D Count
3
Edgar Form D Offerings
2019-05-132019-05-13 · 0001739521-19-000002
2019-05-032019-05-03 · 0001739521-19-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1615 FORUM PLACE, #500WEST PALM BEACH, FL 33401
Business
1615 FORUM PLACE, #500WEST PALM BEACH, FL 33401
Edgar EIN
825103370
Edgar Recent Filings
D/A2019-05-13 · 0001739521-19-000002
D/A2019-05-03 · 0001739521-19-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5525660
Trust Company Affiliate
No

People (1)

1
LAUGHLIN, JEFFREY, MICHAEL
IAR · Direct Owner · 87.5%
5525660