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Howard Richardson

Investment Management & Planning LLC
34 Years of Experience
Greenville, DE
Broker
View SEC Summary
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Howard Richardson is a CFP-designated registered investment advisor at Investment Management & Planning LLC, based in Greenville, DE, with 34 years of industry experience. Howard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 511 clients with $240M in assets under management.

Investment Management & Planning LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
511 clients
Average Client Portfolio
$467K average
Assets Under Management
$238.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable and vary by program, not to exceed 2.5% for general asset management (though certain specialized programs like Manager Access Select allow up to 3.0%).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

20 Montchanin Road, Suite 270, Greenville, DE, 19807

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Howard is involved in several real estate rental businesses and is a registered investment advisor with Investment Management & Planning, dedicating about a quarter of his time during trading hours. He also owns Kaffe Karma, but spends no time on it.

Employment History
Current Registrations
Investment Management & Planning LLC
February 2002 - Present · 24 yrs 8 mos
LPL Financial LLCBroker
August 1997 - Present · 29 yrs 2 mos
Previous Registrations
LPL Financial LLC
August 1997 - September 2016 · 19 yrs 1 mo
Ids Life Insurance CompanyBroker
February 1992 - August 1997 · 5 yrs 6 mos
American Express Financial Advisors INC.Broker
February 1992 - August 1997 · 5 yrs 6 mos
State Registrations28 states
AZCACTDEFLILINLAMAMDMEMIMONCNHNJNVNYOHORPAPRSCTNTXVAVTWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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