# Eureka Financial Planners

Eureka Financial Planners is an Asset Manager based in New York, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** New York, United States
- **Region:** North America
- **Address:** New York, NY, United States
- **Founded:** 1992
- **Assets under management:** Undisclosed
- **Website:** eurekaplan.com
- **LinkedIn:** https://www.linkedin.com/company/william-symons-b20505111

## Regulatory record

- **CRD number:** 269975
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/269975

## About

EUREKA FINANCIAL PLANNERS, LLC is a state-registered investment adviser with $52 million in regulatory assets under management. The firm has 1 employee and 1 investment adviser. It operates with a small team.

## Sectors

- Private Credit
- Real Estate
- Hedge Funds

## People

- Stephen J. Shapiro — Founder and Managing Partner

## Questions

### Who runs investment decisions at Eureka Financial Planners?

Stephen J. Shapiro serves as the firm's founder and managing partner, and he exercises control over all investment sourcing and structuring decisions. Per the firm's regulatory filings, Shapiro holds principal and supervisory roles across both its state-registered investment adviser and FINRA-registered broker-dealer entities. There are no other named investment principals publicly disclosed.

### How does Eureka Financial Planners source its deals?

Eureka operates as a boutique investment adviser and placement agent, sourcing private placements and alternative investment opportunities directly rather than aggregating third-party funds. The firm structures many of its own offerings — often real estate partnerships and private credit instruments — and presents them to a network of qualified clients. This contrasts with the fund-of-funds or manager-access platforms common among larger RIAs.

### What investment structures does Eureka typically use?

The firm executes through private placements and direct syndications rather than commingled funds. Eureka's dual registration as both an SEC investment adviser and a FINRA broker-dealer enables it to structure compensation as either advisory fees or placement commissions depending on the instrument. Known structures include private debt arrangements, direct real estate partnerships, and access to alternative investment strategies.

### What is Eureka's regulatory posture and how does it affect clients?

Eureka holds dual registration with the SEC as an investment adviser and with FINRA as a broker-dealer. This dual-hatted structure allows the firm to operate under both a fiduciary standard when providing advisory services and a suitability standard when executing brokerage transactions. For clients, this means the firm can structure private placements with compensation models tailored to the specific instrument, though it also introduces potential conflicts of interest that must be disclosed.

## Related profiles

- [Eudaimon Wealth Management](https://altss.com/profile/eudaimon-wealth-management)
- [Evanson Asset Management](https://altss.com/profile/evanson-asset-management-llc)

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Last updated: 2026-06-03T20:00:00.000Z

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