# Capital and Planning, LLC

> Capital and Planning, LLC is an SEC-registered investment advisory firm in Jonesboro, GA, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 15, 2026.

- CRD: 321104
- Filed as: CAPITAL AND PLANNING, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Jonesboro, GA
- Filing period: October 2026
- Form ADV filing dated: May 15, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/321104
- AdvisorCensus page: https://advisorcensus.com/firm/capital-and-planning-llc-jonesboro-ga-321104

## Quick answers

**How is Capital and Planning, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Capital and Planning, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Capital and Planning, LLC located?**
Capital and Planning, LLC's principal office is in Jonesboro, GA, according to its Form ADV.

**Is Capital and Planning, LLC registered with the SEC or a state?**
Capital and Planning, LLC is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 321104.

**How much does Capital and Planning, LLC manage?**
Capital and Planning, LLC reports $193,938,755 in regulatory assets under management in its Form ADV filing dated May 15, 2026 (100% discretionary).

**How have Capital and Planning, LLC's assets and staff changed since 2022?**
In the Form ADV data for Capital and Planning, LLC: Regulatory assets under management: $124,175,766 in the October 2022 data and $193,938,755 in the October 2026 data, up 56%. Total employees: 2 in October 2022 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Capital and Planning, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (391); high net worth individuals (126).

**Which custodians does Capital and Planning, LLC use?**
Capital and Planning, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Capital and Planning, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/321104

**Does Capital and Planning, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 25, 2026 says: "There is no minimum account size and Clients are not required to have a certain amount of investment experience or sophistication."

**What changed in Capital and Planning, LLC's recent Form ADV filings?**
In the June 2026 filing data: Registered or notice-filed in MO, WA.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Account minimum: None

> There is no minimum account size and Clients are not required to have a certain amount of investment experience or sophistication.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC

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: $193,938,755
- Discretionary: $193,938,755
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 391 | $66,403,798 |
| High net worth individuals | 126 | $126,358,281 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $54,520 |
| Charitable organizations | Fewer than 5 | $556,703 |
| Corporations or other businesses not listed above | Fewer than 5 | $565,453 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (4 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, CA, FL, GA, LA, MO, NC, NE, SC, TN, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- capitalandplanning.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $124,175,766 | 2 | August 22, 2022 |
| October 2023 | $109,237,627 | 1 | March 20, 2023 |
| October 2024 | $135,220,136 | 2 | July 17, 2024 |
| October 2025 | $165,715,423 | 2 | March 30, 2025 |
| October 2026 | $193,938,755 | 2 | May 15, 2026 |

Regulatory assets under management: $124,175,766 in the October 2022 data and $193,938,755 in the October 2026 data, up 56%.
Total employees: 2 in October 2022 and 2 in October 2026.

## Changes in the filing (last 12 months)

### June 2026
- Registered or notice-filed in MO, WA.

### April 2026
- Regulatory assets under management went from $165,715,423 to $193,938,755 (+17%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Capital and Planning, LLC (CRD 321104): Form ADV filing data as of October 2026.