Avantax Planning Partners, Inc.

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

The brochure lists different fees for different services or strategies. See the firm's brochure (dated June 18, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$7,569,387,166 as of October 2026, filing dated June 18, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)

Also doing business as

AVANTAX RETIREMENT PLAN SERVICES

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

1996 (30 years)

Employees

Total: 261. Performing investment advisory functions: 200.

Wrap fee program participation

No.

Custodians (Schedule D, Section 5.K(3))

Charles Schwab & Co., Inc.Fidelity Personal Trust Company

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

25 other offices, as of the July 2026 filing

Algona, IABaytown, TXDallas, TXDanville, CADavenport, IADes Moines, IADubuque, IAEl Segundo, CAEvansville, INGreat Falls, MTIndependence, OHIndianapolis, INLafayette, LANew Iberia, LAOak Brook, ILOxnard, CAParsippany, NJPella, IAPlatteville, WIRapid City, SDRoseville, MNSaginaw, MISeven Fields, PASomerset, KYUrbandale, IA

States registered or notice-filed

52 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVIVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

1 Reports 1 disclosure item on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Criminal matters Items 11.A and 11.B

• 11.A(2) In the past ten years, has the firm or an advisory affiliate been charged with a felony?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $4,592,459,984 in the October 2021 data and $7,569,387,166 in the October 2026 data, up 65%.

Total employees: 103 in October 2021 and 261 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. April 2026
   • Employees performing advisory functions went from 254 to 200.
   • Added an office in Dallas, TX.
   • Added an office in Des Moines, IA.
   • Added an office in Great Falls, MT.
   • Added an office in Lafayette, LA.
   • Added an office in New Iberia, LA.
   • No longer lists an office in Box Elder, SD.
   • No longer lists an office in Hiawatha, IL.
   • No longer lists an office in Okoboji, IA.
   • No longer lists an office in Rogers, AR.
   • No longer lists an office in Urbandale, IA.
   • Registered or notice-filed in VI.
   • Updated its list of owners and control persons (Schedule A).
2. February 2026
   • Updated its list of owners and control persons (Schedule A).
3. November 2025
   • Updated its list of owners and control persons (Schedule A).

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.