SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Scottsdale Wealth Planning, Inc.
Scottsdale, AZ
CRD 169248
Firm filing updated March 20, 2026 ·
- $171.5MAssets
- 79Clients
- 1Advisory staff
- 312Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals43
- Individuals36
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 36 | $14.9 million |
| High net worth individuals | 43 | $156.6 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$171.5 million
- Accounts312
- DiscretionaryAll accounts
People
- Employees2
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents1
- Planning clients1 to 10
Registration details
- SEC-registered investment advisor. CRD 169248, SEC file 801-113207.
- Registered with the SEC as an investment advisor (status date on record: May 22, 2018).
Is Scottsdale Wealth Planning, Inc. a fiduciary?
Short answer: Scottsdale Wealth Planning, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.