# Mark Sheptoff Financial Planning LLC

> Mark Sheptoff Financial Planning LLC is an SEC-registered investment advisory firm in Glastonbury, CT, registered since 2000, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 108742
- Filed as: MARK SHEPTOFF FINANCIAL PLANNING LLC
- Also doing business as: MARK SHEPTOFF FINANCIAL PLANNING, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Glastonbury, CT
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/108742
- AdvisorCensus page: https://advisorcensus.com/firm/mark-sheptoff-financial-planning-llc-glastonbury-ct-108742

## Quick answers

**How is Mark Sheptoff Financial Planning LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Mark Sheptoff Financial Planning LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Mark Sheptoff Financial Planning LLC charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Hourly rate: $300 an hour (Financial Planning). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Mark Sheptoff Financial Planning LLC located?**
Mark Sheptoff Financial Planning LLC's principal office is in Glastonbury, CT, according to its Form ADV.

**Is Mark Sheptoff Financial Planning LLC registered with the SEC or a state?**
Mark Sheptoff Financial Planning LLC is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 108742.

**How much does Mark Sheptoff Financial Planning LLC manage?**
Mark Sheptoff Financial Planning LLC reports $466,529,463 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Mark Sheptoff Financial Planning LLC's assets and staff changed since 2021?**
In the Form ADV data for Mark Sheptoff Financial Planning LLC: Regulatory assets under management: $353,318,972 in the October 2021 data and $466,529,463 in the October 2026 data, up 32%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Mark Sheptoff Financial Planning LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (135); high net worth individuals (100); pension and profit sharing plans (but not the plan participants or government pension plans) (10).

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

**Does Mark Sheptoff Financial 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/108742

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Hourly rate: $300 an hour (Financial Planning)

> Our Financial Planning fees are calculated and charged on an hourly basis, from $300 per hour.

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

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services 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: $466,529,463
- Discretionary: $466,529,463
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 135 | $49,204,174 |
| High net worth individuals | 100 | $365,678,570 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $46,169,458 |
| Charitable organizations | Fewer than 5 | $638,069 |
| Corporations or other businesses not listed above | 7 | $4,839,192 |

### 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

### Firm details
- Registered since: 2000 (26 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $353,318,972 | 3 | March 29, 2021 |
| October 2022 | $411,427,392 | 3 | April 1, 2022 |
| October 2023 | $376,273,009 | 3 | March 31, 2023 |
| October 2024 | $405,921,864 | 3 | March 26, 2024 |
| October 2025 | $427,998,961 | 3 | March 27, 2025 |
| October 2026 | $466,529,463 | 3 | March 30, 2026 |

Regulatory assets under management: $353,318,972 in the October 2021 data and $466,529,463 in the October 2026 data, up 32%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Mark Sheptoff Financial Planning LLC (CRD 108742): Form ADV filing data as of October 2026.