Planmember Securities Corporation

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

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

See the firm's brochure (dated July 16, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$10,120,552,229 as of October 2026, filing dated September 17, 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)
• Educational seminars/workshops
• Other

Registration

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

Registered since

1991 (35 years)

Employees

Total: 429. Performing investment advisory functions: 425.

Wrap fee program participation

Yes.

Other offices (Schedule D, Section 1.F)

25 other offices, as of the October 2026 filing

Anchorage, AKBirmingham, ALCampbell, CACorpus Christi, TXEast Wenatchee, WAElkridge, MDFarmingville, NYGrandville, MIHenderson, NVHouston, TXIrvington, NYKaysville, UTLos Angeles, CAMililani, HINaperville, ILPuyallup, WAReno, NVRichardson, TXRiverside, CASan Diego, CASanta Barbara, CASpanaway, WAWeston, FLWinchester, VAWinter Springs, FL

States registered or notice-filed

52 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY

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

4 Reports 4 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
• 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

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: $6,186,801,050 in the October 2021 data and $10,120,552,229 in the October 2026 data, up 64%.

Total employees: 270 in October 2021 and 429 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. August 2026
   • Changed its office addresses in Anchorage, AK.
   • Changed its office addresses in Campbell, CA.
   • Changed its office addresses in Corpus Christi, TX.
   • Changed its office addresses in Farmingville, NY.
   • Changed its office addresses in Grandville, MI.
   • Changed its office addresses in Irvington, NY.
   • Changed its office addresses in Kaysville, UT.
   • Changed its office addresses in Mililani, HI.
   • Changed its office addresses in Naperville, IL.
   • Changed its office addresses in Richardson, TX.
   • Changed its office addresses in San Diego, CA.
   • Added an office in East Wenatchee, WA.
   • Added an office in Reno, NV.
   • Added an office in Riverside, CA.
   • Added an office in Spanaway, WA.
   • No longer lists an office in Davenport, IA.
   • No longer lists an office in Redlands, CA.
   • No longer lists an office in Tacoma, WA.
   • No longer lists an office in Wenatchee, WA.
2. April 2026
   • Employees performing advisory functions went from 432 to 425.
   • Regulatory assets under management went from $9,035,509,268 to $10,120,552,229 (+12%).

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