{
  "crd_number": 11869,
  "slug": "planmember-securities-corporation-carpinteria-ca-11869",
  "primary_business_name": "PLANMEMBER SECURITIES CORPORATION",
  "legal_name": "PLANMEMBER SECURITIES CORPORATION",
  "dbas": [],
  "city": "Carpinteria",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "42200",
  "metro": {
    "cbsa_code": "42200",
    "common_name": "Santa Maria",
    "msa_name": "Santa Maria-Santa Barbara, CA",
    "path": "/advisors/ca/santa-maria"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1991-06-27",
  "years_registered": 35,
  "period": "2026-10-01",
  "filing_date": "2026-09-17",
  "carried_forward": false,
  "raum_total": 10120552229.0,
  "raum_discretionary": 10120552229.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 429,
  "advisory_employees": 425,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": 7658996.0,
      "count": 22
    },
    "individuals": {
      "raum": 7707569105.0,
      "count": 68543
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 899953584.0,
      "count": 126
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1483845322.0,
      "count": 898
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 21525222.0,
      "count": 56
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 4,
  "states_registered": [
    "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",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/PlanMemberServices",
    "https://linkedin.com/company/planmember",
    "https://linkedin.com/company/planmember-securities",
    "https://planmember.com",
    "https://twitter.com/PlanMember",
    "https://twitter.com/joinplanmember"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/11869",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "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?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    }
  ],
  "city_as_filed": "CARPINTERIA",
  "url": "https://advisorcensus.com/firm/planmember-securities-corporation-carpinteria-ca-11869",
  "display_name": "Planmember Securities Corporation",
  "summary": "Planmember Securities Corporation is an SEC-registered investment advisory firm in Carpinteria, CA, registered since 1991, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.",
  "citation": "AdvisorCensus. Planmember Securities Corporation (CRD 11869): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "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"
  ],
  "quick_answers": [
    {
      "q": "How is Planmember Securities Corporation compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Planmember Securities Corporation reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "Where is Planmember Securities Corporation located?",
      "a": "Planmember Securities Corporation's principal office is in Carpinteria, CA, according to its Form ADV; the October 2026 filing also lists 25 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Planmember Securities Corporation registered with the SEC or a state?",
      "a": "Planmember Securities Corporation is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 11869."
    },
    {
      "q": "How much does Planmember Securities Corporation manage?",
      "a": "Planmember Securities Corporation reports $10,120,552,229 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (100% discretionary)."
    },
    {
      "q": "How have Planmember Securities Corporation's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Planmember Securities Corporation: 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. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Planmember Securities Corporation serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (68,543); high net worth individuals (898); pension and profit sharing plans (but not the plan participants or government pension plans) (126)."
    },
    {
      "q": "Does Planmember Securities Corporation report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/11869"
    },
    {
      "q": "What changed in Planmember Securities Corporation's recent Form ADV filings?",
      "a": "In the August 2026 filing data: 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."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 6186801050.0,
      "total_employees": 270,
      "filing_date": "2021-08-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 8217513744.0,
      "total_employees": 319,
      "filing_date": "2022-09-14"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 7530125901.0,
      "total_employees": 459,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 8275617707.0,
      "total_employees": 427,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 9035509268.0,
      "total_employees": 432,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 10120552229.0,
      "total_employees": 429,
      "filing_date": "2026-09-17"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "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."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "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%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/planmember-securities-corporation-carpinteria-ca-11869.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 68543,
      "fewer_than_5": false,
      "raum": 7707569105.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 898,
      "fewer_than_5": false,
      "raum": 1483845322.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 126,
      "fewer_than_5": false,
      "raum": 899953584.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 22,
      "fewer_than_5": false,
      "raum": 7658996.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 56,
      "fewer_than_5": false,
      "raum": 21525222.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/11869",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}