SourcingSourcing

CAPITAL PLANNING, LLC

C47
CRD 169470·SEC 801-79115·BELLEVUE, WA
AUM
$617.7M
$500M-$1B
Est. Revenue
$6.2M
@ 1% on AUM
Est. EBITDA
$1.9M
@ 30% margin
Est. Deal Value
$14.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CAPITAL PLANNING, LLC
CRD
169470
SEC file #
801-79115
EIN
464134688
DBA names
—

Economics

AUM
$617.7M
AUM band
$500M-$1B
AUM trajectory
'20'26
$327.1M → $617.7M▲ +89%
Client mix
Individuals High Net Worth171
Individuals Other118
Corporations7

Operations

Employees (total)
12
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
6 advisors → 7 advisors▲ +17%
Primary office
BELLEVUE WA
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
capitalplanningcorp.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
M3 HOLDINGS CORP DBA CAPITAL
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
M3 HOLDINGS CORP DBA CAPITAL
KELLEY, JAMES, EARL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CAPITALPLANNINGCORP.COM
Rdap Domain Creation Date
1999-03-23T05:00:00Z
Rdap Firm Age Years
27
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
0001790688
Edgar Registered
Yes
Edgar Filing Count
24
Edgar First Filing Date
2021-02-16
Edgar Last Filing Date
2026-04-30
Edgar 13f Count
22
Edgar 13f Latest AUM Estimate
Filing Date2026-04-30
Accession0001790688-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Lpl Financial2
Edgar Addresses
Mailing
10900 NE 4TH ST.SUITE 2300BELLEVUE, WA 98004
Business
10900 NE 4TH ST.SUITE 2300BELLEVUE, WA 98004
Edgar EIN
464134688
Edgar Recent Filings
13F-HR2026-04-30 · 0001790688-26-000002
13F-HR2026-01-23 · 0001790688-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-03-23T04:00:00Z
Rdap Domain Last Changed
2020-03-23T12:50:28Z
Rdap Nameservers
Ns87.worldnic.comNs88.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (5)

5
KELLEY, JAMES, EARL
IAR · Direct Owner · 17.5%
1348439
MILLER, MICHAEL, DARRELL
IAR · Executive Officer · 2.5%
735841
Christian Michael David Miller
IAR
7732566
Leigh Daniel Jerome Washington
IAR
8029697
BRENDA JAMMY LEE
IAR
2280754