{
  "crd_number": 169248,
  "slug": "scottsdale-wealth-planning-inc-scottsdale-az-169248",
  "primary_business_name": "SCOTTSDALE WEALTH PLANNING, INC.",
  "legal_name": "SCOTTSDALE WEALTH PLANNING, INC.",
  "dbas": [],
  "city": "Scottsdale",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-05-22",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-03-20",
  "carried_forward": false,
  "raum_total": 171508301.0,
  "raum_discretionary": 171508301.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 2,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 14888841.0,
      "count": 36
    },
    "high_net_worth_individuals": {
      "raum": 156619460.0,
      "count": 43
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "AZ"
  ],
  "websites": [
    "https://facebook.com/SCOTTSDALEWEALTHPLANNING",
    "https://instagram.com/scottsdalewealthplanning",
    "https://linkedin.com/company/scottsdale-wealth-planning",
    "https://scottsdalewealthplanning.com",
    "https://youtube.com/channel/UCp2z73CYqcYqFD5iktJGnaQ/featured?view_as=subscriber"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169248",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "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(3)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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?"
    }
  ],
  "city_as_filed": "SCOTTSDALE",
  "url": "https://advisorcensus.com/firm/scottsdale-wealth-planning-inc-scottsdale-az-169248",
  "display_name": "Scottsdale Wealth Planning, Inc.",
  "summary": "Scottsdale Wealth Planning, Inc. is an SEC-registered investment advisory firm in Scottsdale, AZ, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.",
  "citation": "AdvisorCensus. Scottsdale Wealth Planning, Inc. (CRD 169248): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Scottsdale Wealth Planning, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Scottsdale Wealth Planning, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Scottsdale Wealth Planning, Inc. located?",
      "a": "Scottsdale Wealth Planning, Inc.'s principal office is in Scottsdale, AZ, according to its Form ADV."
    },
    {
      "q": "Is Scottsdale Wealth Planning, Inc. registered with the SEC or a state?",
      "a": "Scottsdale Wealth Planning, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 169248."
    },
    {
      "q": "How much does Scottsdale Wealth Planning, Inc. manage?",
      "a": "Scottsdale Wealth Planning, Inc. reports $171,508,301 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary)."
    },
    {
      "q": "How have Scottsdale Wealth Planning, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Scottsdale Wealth Planning, Inc.: Regulatory assets under management: $125,132,617 in the October 2021 data and $171,508,301 in the October 2026 data, up 37%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Scottsdale Wealth Planning, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (43); individuals (other than high net worth individuals) (36)."
    },
    {
      "q": "Which custodians does Scottsdale Wealth Planning, Inc. use?",
      "a": "Scottsdale Wealth Planning, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity IWS as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Scottsdale Wealth Planning, Inc. report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(3) (SEC or CFTC finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/169248"
    },
    {
      "q": "Does Scottsdale Wealth Planning, Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 20, 2026 says: \"SWP generally requires a minimum relationship size of $1,000,000, which may be reduced at the sole discretion of the Advisor.\""
    },
    {
      "q": "What changed in Scottsdale Wealth Planning, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $151,299,085 to $171,508,301 (+13%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 125132617.0,
      "total_employees": 2,
      "filing_date": "2021-03-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 153273938.0,
      "total_employees": 2,
      "filing_date": "2022-03-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 102433758.0,
      "total_employees": 1,
      "filing_date": "2023-07-10"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 138431872.0,
      "total_employees": 1,
      "filing_date": "2024-03-25"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 151299085.0,
      "total_employees": 1,
      "filing_date": "2025-07-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 171508301.0,
      "total_employees": 2,
      "filing_date": "2026-03-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $151,299,085 to $171,508,301 (+13%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in FL, IL, TX."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 20, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "SWP generally requires a minimum relationship size of $1,000,000, which may be reduced at the sole discretion of the Advisor."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "SWP generally requires a minimum relationship size of $1,000,000, which may be reduced at the sole discretion of the Advisor."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity IWS",
      "name_as_filed": "FIDELITY IWS",
      "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/scottsdale-wealth-planning-inc-scottsdale-az-169248.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 36,
      "fewer_than_5": false,
      "raum": 14888841.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 43,
      "fewer_than_5": false,
      "raum": 156619460.0
    }
  ],
  "disclosure_line": "Reports 5 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/169248",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}