{"url":"https://nivawealth.com/firms/asset-planning-services-104715","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104715","regulatoryAum":365570218,"crd":"104715","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4332316","suffix":null,"lastName":"DUET","firstName":"CLAUDE","middleName":"PAUL"},{"crd":"4428527","suffix":null,"lastName":"NELSON","firstName":"JILLIAN","middleName":"CARUTHERS"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-29","regulatoryAum":279264920,"clients":184,"employees":6,"offices":1},{"filedOn":"2022-02-17","regulatoryAum":313596495,"clients":175,"employees":6,"offices":1},{"filedOn":"2023-02-24","regulatoryAum":279058685,"clients":164,"employees":6,"offices":1},{"filedOn":"2024-02-29","regulatoryAum":289708803,"clients":163,"employees":5,"offices":1},{"filedOn":"2025-02-25","regulatoryAum":345657624,"clients":160,"employees":4,"offices":1},{"filedOn":"2026-02-24","regulatoryAum":365570218,"clients":148,"employees":5,"offices":1}],"secFileNumber":"801-29419","legalName":"Asset Planning Services Inc","displayName":"Asset Planning Services","slug":"asset-planning-services-104715","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1979","organization":"Louisiana corporation","fiscalYearEnd":"December","headquarters":{"street":"509 W. 21st Avenue","city":"Covington","state":"LA","stateName":"Louisiana","country":"United States","postalCode":"70433"},"tradeNames":[],"registration":{"secApproved":"14 May 1987","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2524870.368794326,"staff":{"employees":5,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":365570218,"discretionary":323764207,"discretionaryAccounts":410,"nonDiscretionary":41806011,"nonDiscretionaryAccounts":106,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":73,"regulatoryAum":27888877},{"label":"High-net-worth individuals","clients":68,"regulatoryAum":328117845},{"label":"Pension and profit-sharing plans","clients":4,"fewerThan5":true,"regulatoryAum":5444122},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":4119374}],"feePrograms":[{"role":"main","program":"Ongoing investment management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011455","versionId":1011455,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-24","documentName":"FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Flat-fee planning and tax services","summary":"Business, financial or retirement planning, accounting and tax return preparation may be quoted a flat dollar fee instead of a percentage; no amount is stated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011455","versionId":1011455,"submittedOn":"2026-02-24","documentName":"FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:07:10.138394+00:00","documents":[{"name":"FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011455","versionId":1011455,"submittedOn":"2026-02-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":339014856}],"custodyNote":"Asset Planning Services has custody of $9.29M in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Claude Duet","title":"President/Director/Chief Compliance Officer","crd":"4332316"},{"name":"Brenda Duet","title":"Secretary/Director","crd":"4332333"}],"ownership":[{"label":"Claude Duet","detail":"President/director/chief compliance officer in the 75% or more ownership band and a control person, since June 1979."},{"label":"Brenda Duet","detail":"Secretary/director in the 75% or more ownership band and a control person, since June 1987."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Louisiana","offices":1,"addresses":[{"street":"509 W. 21st Avenue","city":"Covington","headquarters":true}]}],"brochureServices":["estate planning","tax preparation"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"985-867-8679","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":62},{"label":"U.S. government/agency bonds","percent":4},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":15},{"label":"Cash and cash equivalents","percent":14}],"privateFunds":0},"sources":{"adv1FilingDate":"24 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104715/PDF/104715.pdf","brochureDate":"24 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011455","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Asset Planning Services have?","answer":"Asset Planning Services has 148 clients and manages $366 million for them, as of February 2026. They include 73 individual clients, 68 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Asset Planning Services offer?","answer":"Asset Planning Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, estate planning, and tax preparation.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Asset Planning Services charge?","answer":"Asset Planning Services charges up to 1.50% a year for its Ongoing investment management. The fee is billed in arrears and is negotiable.","source":"FIRM BROCHURE, filed 24 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Asset Planning Services use?","answer":"Asset Planning Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $339M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Asset Planning Services have?","answer":"Asset Planning Services has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Asset Planning Services invest in?","answer":"At the end of its last fiscal year, Asset Planning Services’ separately managed accounts held 62% exchange-traded equities, 15% registered funds (mutual funds, ETFs, BDCs), 14% cash and equivalents, 5% investment grade corporate bonds and 4% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Asset Planning Services?","answer":"Asset Planning Services’ direct owners are Claude Duet (75% or more) and Brenda Duet (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Asset Planning Services get paid?","answer":"Asset Planning Services is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Asset Planning Services?","answer":"Asset Planning Services’ main office is at 509 W. 21st Avenue, Covington, LA 70433. Its phone number is 985-867-8679.","source":"Form ADV Part 1A, Item 1.F, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}