{
  "crd_number": 306820,
  "slug": "the-wealthplan-llc-great-neck-ny-306820",
  "primary_business_name": "THE WEALTHPLAN LLC",
  "legal_name": "THE WEALTHPLAN LLC",
  "dbas": [],
  "city": "Great Neck",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-05-09",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-08-24",
  "carried_forward": false,
  "raum_total": 87476559.0,
  "raum_discretionary": 84085594.0,
  "raum_non_discretionary": 3390965.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 29304015.0,
      "count": 95
    },
    "high_net_worth_individuals": {
      "raum": 58172544.0,
      "count": 37
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "FL",
    "NJ",
    "NY",
    "TX"
  ],
  "websites": [
    "https://facebook.com/The-WealthPlan-LLC-102204104864642",
    "https://facebook.com/davidwarshaw",
    "https://indyfin.com",
    "https://instagram.com/dewwealthplan",
    "https://linkedin.com/in/davidwarshawwp",
    "https://thewealthplan.com",
    "https://tiktok.com/@thewealthplanllc",
    "https://wealthtender.com",
    "https://youtube.com/@thewealthplanllc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/306820",
  "disclosure_items": [
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "GREAT NECK",
  "url": "https://advisorcensus.com/firm/the-wealthplan-llc-great-neck-ny-306820",
  "display_name": "The Wealthplan LLC",
  "summary": "The Wealthplan LLC is an SEC-registered investment advisory firm in Great Neck, NY, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 24, 2026.",
  "citation": "AdvisorCensus. The Wealthplan LLC (CRD 306820): 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",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is The Wealthplan LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), The Wealthplan LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is The Wealthplan LLC located?",
      "a": "The Wealthplan LLC's principal office is in Great Neck, NY, according to its Form ADV."
    },
    {
      "q": "Is The Wealthplan LLC registered with the SEC or a state?",
      "a": "The Wealthplan LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 306820."
    },
    {
      "q": "How much does The Wealthplan LLC manage?",
      "a": "The Wealthplan LLC reports $87,476,559 in regulatory assets under management in its Form ADV filing dated August 24, 2026 (96% discretionary)."
    },
    {
      "q": "How have The Wealthplan LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for The Wealthplan LLC: Regulatory assets under management: $55,514,996 in the October 2021 data and $87,476,559 in the October 2026 data, up 58%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does The Wealthplan LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (95); high net worth individuals (37)."
    },
    {
      "q": "Which custodians does The Wealthplan LLC use?",
      "a": "The Wealthplan LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does The Wealthplan LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(2) (pending civil proceeding). 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/306820"
    },
    {
      "q": "What changed in The Wealthplan LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $73,838,864 to $87,476,559 (+18%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 55514996.0,
      "total_employees": 1,
      "filing_date": "2021-09-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 62755060.0,
      "total_employees": 1,
      "filing_date": "2024-05-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 73838864.0,
      "total_employees": 1,
      "filing_date": "2025-06-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 87476559.0,
      "total_employees": 1,
      "filing_date": "2026-08-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $73,838,864 to $87,476,559 (+18%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "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/the-wealthplan-llc-great-neck-ny-306820.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 95,
      "fewer_than_5": false,
      "raum": 29304015.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 37,
      "fewer_than_5": false,
      "raum": 58172544.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item 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/306820",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}