# Cates FP, Cates Tax Advisory

> Cates FP, Cates Tax Advisory is a state-registered investment advisory firm, registered since 2017, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 5, 2026.

- CRD: 290650
- Filed as: CATES FP, CATES TAX ADVISORY
- Legal name: Cates Financial Planning LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Texas
- Filing period: October 2026
- Form ADV filing dated: June 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/290650
- AdvisorCensus page: https://advisorcensus.com/firm/cates-fp-cates-tax-advisory-290650

## Quick answers

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

**Is Cates FP, Cates Tax Advisory registered with the SEC or a state?**
Cates FP, Cates Tax Advisory is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 290650.

**How much does Cates FP, Cates Tax Advisory manage?**
Cates FP, Cates Tax Advisory reports $48,105,863 in regulatory assets under management in its Form ADV filing dated June 5, 2026 (100% discretionary).

**What types of clients does Cates FP, Cates Tax Advisory serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (49); high net worth individuals (21).

**Does Cates FP, Cates Tax Advisory report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/290650

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $48,105,863
- Discretionary: $48,105,863
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 49 | $9,839,193 |
| High net worth individuals | 21 | $38,266,670 |

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

### Firm details
- Registered since: 2017 (8 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- catesfp.com
- LinkedIn @CATESTAXADVISORY

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cates FP, Cates Tax Advisory (CRD 290650): Form ADV filing data as of October 2026.