# Planmember Securities Corporation

> 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.

- CRD: 11869
- Filed as: PLANMEMBER SECURITIES CORPORATION
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Carpinteria, CA
- Filing period: October 2026
- Form ADV filing dated: September 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/11869
- AdvisorCensus page: https://advisorcensus.com/firm/planmember-securities-corporation-carpinteria-ca-11869

## Quick answers

**How is Planmember Securities Corporation compensated?**
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.

**Where is Planmember Securities Corporation located?**
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).

**Is Planmember Securities Corporation registered with the SEC or a state?**
Planmember Securities Corporation is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 11869.

**How much does Planmember Securities Corporation manage?**
Planmember Securities Corporation reports $10,120,552,229 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (100% discretionary).

**How have Planmember Securities Corporation's assets and staff changed since 2021?**
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.

**What types of clients does Planmember Securities Corporation serve?**
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).

**Does Planmember Securities Corporation report any disciplinary disclosures?**
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

**What changed in Planmember Securities Corporation's recent Form ADV filings?**
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.

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $10,120,552,229
- Discretionary: $10,120,552,229
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 68,543 | $7,707,569,105 |
| High net worth individuals | 898 | $1,483,845,322 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 126 | $899,953,584 |
| Charitable organizations | 22 | $7,658,996 |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 56 | $21,525,222 |
| Other | 0 | Not reported |

### 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 1991 (35 years)
- Employees: 429 total, 425 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/11869

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Anchorage, AK
- Birmingham, AL
- Campbell, CA
- Corpus Christi, TX
- East Wenatchee, WA
- Elkridge, MD
- Farmingville, NY
- Grandville, MI
- Henderson, NV
- Houston, TX
- Irvington, NY
- Kaysville, UT
- Los Angeles, CA
- Mililani, HI
- Naperville, IL
- Puyallup, WA
- Reno, NV
- Richardson, TX
- Riverside, CA
- San Diego, CA
- Santa Barbara, CA
- Spanaway, WA
- Weston, FL
- Winchester, VA
- Winter Springs, FL

### Websites listed on Form ADV (Item 1.I)
- planmember.com
- Facebook @PlanMemberServices
- LinkedIn @planmember
- LinkedIn @planmember-securities
- X @PlanMember
- X @joinplanmember

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $6,186,801,050 | 270 | August 25, 2021 |
| October 2022 | $8,217,513,744 | 319 | September 14, 2022 |
| October 2023 | $7,530,125,901 | 459 | March 31, 2023 |
| October 2024 | $8,275,617,707 | 427 | March 29, 2024 |
| October 2025 | $9,035,509,268 | 432 | March 31, 2025 |
| October 2026 | $10,120,552,229 | 429 | September 17, 2026 |

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.

## Changes in the filing (last 12 months)

### 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.

### 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%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Planmember Securities Corporation (CRD 11869): Form ADV filing data as of October 2026.