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Wakefield Financial Planning
Wakefield Financial Planning, LLC is an investment adviser registered with the Securities and Exchange Commission.
Wakefield Financial Planning
Wakefield Financial Planning, LLC is an investment adviser registered with the Securities and Exchange Commission. The firm provides financial planning and portfolio management services to a client base that includes individuals and high-net-worth families. Its focus remains on constructing financial plans that integrate retirement projections, tax efficiency, and estate transfer strategies rather than deploying institutional capital into direct private investments. The firm's investment approach centers on model portfolios built from mutual funds and exchange-traded funds, with asset allocation tailored to client risk profiles. Wakefield Financial Planning does not publicly disclose participation in direct co-investments, private equity funds, or venture capital. Its service model is characteristic of a personal financial planning practice rather than an institutional family office with dedicated sourcing capabilities across asset classes. No named portfolio companies or direct deals are disclosed in its public filings. Wakefield Financial Planning operates from an office in the United States. Its team size and total regulatory assets under management are not prominently disclosed in public records, though its SEC registration confirms a role as a fiduciary to its advisory clients. The firm maintains the compliance and recordkeeping infrastructure required of an SEC-registered adviser, including a code of ethics and custody safeguards for client assets. A differentiating structural feature is the firm's positioning as an independent registered investment adviser rather than a broker-dealer or bank-affiliated wealth manager. This structure obligates Wakefield Financial Planning to a fiduciary standard across all client relationships, meaning it must place client interests ahead of its own in every recommendation. The firm does not appear to maintain affiliated philanthropic vehicles, club deal networks, or operating company investments that would distinguish it from a standard planning-led RIA.
General information
Firm type
Multi Family Office
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
—
Corporate office
—
Frequently asked questions
What services does Wakefield Financial Planning provide?
The firm offers financial planning and portfolio management services, per its SEC registration. Its planning work typically spans retirement projections, tax planning, and estate considerations. Portfolio management is executed through model allocations using mutual funds and ETFs. It does not publicly promote direct private investments or alternative asset access.
Is Wakefield Financial Planning held to a fiduciary standard?
Yes. As a registered investment adviser with the SEC, Wakefield Financial Planning owes a fiduciary duty to its advisory clients. This means the firm must put client interests ahead of its own when making recommendations. The fiduciary obligation is a structural feature of the independent RIA model, which is significant when comparing it to broker-dealer-affiliated advisers who may operate under a lesser suitability standard.
Does Wakefield Financial Planning make direct investments in private companies?
There is no public record indicating that Wakefield Financial Planning engages in direct private company investments, co-investments, or venture capital allocations. The firm's disclosed investment approach relies on publicly traded securities through mutual funds and ETFs. This posture is consistent with a generalist financial planning practice rather than an institutional family office or venture firm.
How does Wakefield Financial Planning structure its fees?
Specific fee schedules for Wakefield Financial Planning are disclosed in the firm's Form ADV Part 2A, filed with the SEC. As an RIA, compensation is typically asset-based or fixed-fee rather than commission-driven. Potential clients can request the firm's latest disclosure brochure to review its exact fee structure and any potential conflicts.
Where is Wakefield Financial Planning located?
The firm is based in the United States, though a specific city or street address is not confirmed in the available public record. Its SEC registration indicates domestic operations serving US-based individuals and families. Prospective clients should contact the firm directly to confirm its office location and service area.
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