SourcingSourcing

INVESTMENT MANAGEMENT & PLANNING LLC

B57
CRD 146041·SEC 801-107553·GREENVILLE, DE
AUM
$238.8M
$100M-$500M
Est. Revenue
$2.4M
@ 1% on AUM
Est. EBITDA
$717K
@ 30% margin
Est. Deal Value
$5.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
INVESTMENT MANAGEMENT & PLANNING LLC
CRD
146041
SEC file #
801-107553
EIN
—
DBA names
—

Economics

AUM
$238.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$132.7M → $238.8M▲ +80%
Client mix
Individuals High Net Worth314
Individuals Other189
Pension Profit Sharing Plans6
Corporations2

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
GREENVILLE DE
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
imandp.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RICHARDSON, HOWARD, CALVERT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
RICHARDSON, HOWARD, CALVERT
Solo Advisor Indicator
No
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
IMANDP.COM
Rdap Domain Creation Date
2002-04-18T14:44:01Z
Rdap Firm Age Years
24
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Lpl Financial4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2032-04-19T14:44:01Z
Rdap Domain Last Changed
2023-09-05T19:18:53Z
Rdap Nameservers
Ns15.domaincontrol.comNs16.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2175911
Trust Company Affiliate
No

People (3)

3
RICHARDSON, HOWARD, CALVERT
IAR · Direct Owner · 87.5%
2175911
JOHN MICHAEL ABOOD
IAR
2629855
JEFFREY H. MACDONALD
IAR
5491845