INVESTMENTS & FINANCIAL PLANNING, LLC
CRD #164333 SEC #801-119021 LEXINGTON, KY 859-543-8188
SEC Registered
Total AUM
$278.4M
Discretionary
$278.4M
Employees
6
Clients
26
Accounts
1,714
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Kentucky
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 21, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| MULLINS, JAMES, ERIC | I | MANAGING PARTNER | D | |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
| SHORT, DAVID, BRIAN | I | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | D | Control |
Registrations
Federal
IA
Aug 21, 2025 REGISTERED
Notice Filings (4)
KY LA TN TX
Address
1795 ALYSHEBA WAYSUITE 7104
LEXINGTON, KY 40509
United States
Phone: 859-543-8188