# Avantax Planning Partners, Inc.

> Avantax Planning Partners, Inc. is an SEC-registered investment advisory firm in Dubuque, IA, registered since 1996, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 18, 2026.

- CRD: 106237
- Filed as: AVANTAX PLANNING PARTNERS, INC.
- Also doing business as: AVANTAX RETIREMENT PLAN SERVICES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dubuque, IA
- Filing period: October 2026
- Form ADV filing dated: June 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/106237
- AdvisorCensus page: https://advisorcensus.com/firm/avantax-planning-partners-inc-dubuque-ia-106237

## Quick answers

**How is Avantax Planning Partners, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Avantax Planning Partners, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Avantax Planning Partners, Inc. located?**
Avantax Planning Partners, Inc.'s principal office is in Dubuque, IA, according to its Form ADV; the July 2026 filing also lists 25 other offices (Schedule D, Section 1.F).

**Is Avantax Planning Partners, Inc. registered with the SEC or a state?**
Avantax Planning Partners, Inc. is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 106237.

**How much does Avantax Planning Partners, Inc. manage?**
Avantax Planning Partners, Inc. reports $7,569,387,166 in regulatory assets under management in its Form ADV filing dated June 18, 2026 (100% discretionary).

**How have Avantax Planning Partners, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Avantax Planning Partners, Inc.: 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. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Avantax Planning Partners, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (6,299); high net worth individuals (1,216); pension and profit sharing plans (but not the plan participants or government pension plans) (591).

**Which custodians does Avantax Planning Partners, Inc. use?**
Avantax Planning Partners, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Personal Trust Company as custodians holding 10% or more of its separately managed account assets.

**Does Avantax Planning Partners, Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106237

**What changed in Avantax Planning Partners, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: 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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### 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.

### Regulatory assets under management (Item 5.F)
- Total: $7,569,387,166
- Discretionary: $7,564,117,464
- Non-discretionary: $5,269,702

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 6,299 | $1,623,178,460 |
| High net worth individuals | 1,216 | $3,582,439,134 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 591 | $2,161,645,645 |
| Charitable organizations | 153 | $49,599,192 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 111 | $152,524,735 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 1996 (30 years)
- Employees: 261 total, 200 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106237

### Other offices (Schedule D, Section 1.F), as of the July 2026 filing
- Algona, IA
- Baytown, TX
- Dallas, TX
- Danville, CA
- Davenport, IA
- Des Moines, IA
- Dubuque, IA
- El Segundo, CA
- Evansville, IN
- Great Falls, MT
- Independence, OH
- Indianapolis, IN
- Lafayette, LA
- New Iberia, LA
- Oak Brook, IL
- Oxnard, CA
- Parsippany, NJ
- Pella, IA
- Platteville, WI
- Rapid City, SD
- Roseville, MN
- Saginaw, MI
- Seven Fields, PA
- Somerset, KY
- Urbandale, IA

### Websites listed on Form ADV (Item 1.I)
- avantax.com/affiliation-models/registered-investment-advisors-ria
- Facebook @AvantaxPlanningPartners
- LinkedIn @Avantax-Planning-Partners
- YouTube @avantaxwealth

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $4,592,459,984 | 103 | August 27, 2021 |
| October 2022 | $5,785,921,128 | 125 | July 11, 2022 |
| October 2023 | $5,456,488,469 | 239 | September 28, 2023 |
| October 2024 | $6,377,152,299 | 248 | April 16, 2024 |
| October 2025 | $6,933,162,284 | 254 | July 28, 2025 |
| October 2026 | $7,569,387,166 | 261 | June 18, 2026 |

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.

## Changes in the filing (last 12 months)

### 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).

### February 2026
- Updated its list of owners and control persons (Schedule A).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Avantax Planning Partners, Inc. (CRD 106237): Form ADV filing data as of October 2026.