{ "crd_number": 153666, "slug": "promontory-financial-planning-llc-farmington-ut-153666", "primary_business_name": "PROMONTORY FINANCIAL PLANNING, LLC", "legal_name": "PROMONTORY FINANCIAL PLANNING, LLC", "dbas": [ "GOAR FINANCIAL SERVICES", "PREMIER FINANCIAL PLANNING" ], "city": "Farmington", "state": "UT", "country": "United States", "cbsa_code": "36260", "metro": { "cbsa_code": "36260", "common_name": "Ogden", "msa_name": "Ogden, UT", "path": "/advisors/ut/ogden" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2019-01-28", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-02-20", "carried_forward": false, "raum_total": 319000000.0, "raum_discretionary": 319000000.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 12, "advisory_employees": 12, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 205000000.0, "count": 500 }, "pension_profit_sharing": { "raum": 4000000.0, "count": 5 }, "high_net_worth_individuals": { "raum": 110000000.0, "count": 65 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CA", "CO", "ID", "TX", "UT" ], "websites": [ "https://promontoryfp.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153666", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "FARMINGTON", "url": "https://advisorcensus.com/firm/promontory-financial-planning-llc-farmington-ut-153666", "display_name": "Promontory Financial Planning, LLC", "summary": "Promontory Financial Planning, LLC is an SEC-registered investment advisory firm in Farmington, UT, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 20, 2026.", "citation": "AdvisorCensus. Promontory Financial Planning, LLC (CRD 153666): 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)" ], "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" ], "quick_answers": [ { "q": "How is Promontory Financial Planning, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Promontory Financial Planning, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Promontory Financial Planning, LLC located?", "a": "Promontory Financial Planning, LLC's principal office is in Farmington, UT, according to its Form ADV; the March 2026 filing also lists 5 other offices (Schedule D, Section 1.F)." }, { "q": "Is Promontory Financial Planning, LLC registered with the SEC or a state?", "a": "Promontory Financial Planning, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 153666." }, { "q": "How much does Promontory Financial Planning, LLC manage?", "a": "Promontory Financial Planning, LLC reports $319,000,000 in regulatory assets under management in its Form ADV filing dated February 20, 2026 (100% discretionary)." }, { "q": "How have Promontory Financial Planning, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Promontory Financial Planning, LLC: Regulatory assets under management: $175,000,000 in the October 2021 data and $319,000,000 in the October 2026 data, up 82%. Total employees: 9 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Promontory Financial Planning, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (500); high net worth individuals (65); pension and profit sharing plans (but not the plan participants or government pension plans) (5)." }, { "q": "Which custodians does Promontory Financial Planning, LLC use?", "a": "Promontory Financial Planning, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists SEI Investments Distribution Co. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Promontory Financial Planning, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/153666" }, { "q": "Does Promontory Financial Planning, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated February 20, 2026 says: \"Financial Planning can be provided regardless of account values, but Asset Management services are restricted to those with a minimum account value of $100,000.\"" }, { "q": "What changed in Promontory Financial Planning, LLC's recent Form ADV filings?", "a": "In the March 2026 filing data: Employees performing advisory functions went from 11 to 12. Regulatory assets under management went from $280,000,000 to $319,000,000 (+14%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 175000000.0, "total_employees": 9, "filing_date": "2021-02-18" }, { "period": "2022-10-01", "regulatory_assets_under_management": 255000000.0, "total_employees": 9, "filing_date": "2022-08-16" }, { "period": "2023-10-01", "regulatory_assets_under_management": 245000000.0, "total_employees": 10, "filing_date": "2023-01-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 263000000.0, "total_employees": 10, "filing_date": "2024-02-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 280000000.0, "total_employees": 11, "filing_date": "2025-02-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": 319000000.0, "total_employees": 12, "filing_date": "2026-02-20" } ], "recent_changes": [ { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 11 to 12.", "Regulatory assets under management went from $280,000,000 to $319,000,000 (+14%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated February 20, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$100,000", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $100,000" ], "quotes": [ "Financial Planning can be provided regardless of account values, but Asset Management services are restricted to those with a minimum account value of $100,000." ] } ], "quotes": [ "Financial Planning can be provided regardless of account values, but Asset Management services are restricted to those with a minimum account value of $100,000." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "SEI Investments Distribution Co.", "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/promontory-financial-planning-llc-farmington-ut-153666.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 500, "fewer_than_5": false, "raum": 205000000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 65, "fewer_than_5": false, "raum": 110000000.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 5, "fewer_than_5": false, "raum": 4000000.0 } ], "disclosure_line": "Reports 2 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/153666", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }