Avantax Planning Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 2,500 clients last fiscal year.
Avantax Planning Partners reports 8,370 clients. They include 6,299 individual clients, 1,216 high-net-worth individuals, and 591 pension and profit-sharing plans. Of its assets, 99.9% ($7.56B across 13,793 accounts) are managed with discretion; $5.27M across 4 accounts are not. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 75% | 21% |
| High-net-worth individuals | 15% | 47% |
| Pension and profit-sharing plans | 7% | 29% |
| Charitable organizations | 2% | <1% |
| Corporations and other businesses | 1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 6,299 | $1.62B | 21.4% | $258K |
| High-net-worth individuals | 1,216 | $3.58B | 47.3% | $2.95M |
| Pension and profit-sharing plans | 591 | $2.16B | 28.6% | $3.66M |
| Charitable organizations | 153 | $49.6M | 0.7% | $324K |
| Corporations and other businesses | 111 | $153M | 2.0% | $1.37M |
| Total | 8,370 | $7.57B | 100% | $904K |
- Clients
- 6,299
- Regulatory AUM
- $1.62B
- AUM share
- 21.4%
- Avg. per client
- $258K
- Clients
- 1,216
- Regulatory AUM
- $3.58B
- AUM share
- 47.3%
- Avg. per client
- $2.95M
- Clients
- 591
- Regulatory AUM
- $2.16B
- AUM share
- 28.6%
- Avg. per client
- $3.66M
- Clients
- 153
- Regulatory AUM
- $49.6M
- AUM share
- 0.7%
- Avg. per client
- $324K
- Clients
- 111
- Regulatory AUM
- $153M
- AUM share
- 2.0%
- Avg. per client
- $1.37M
Total
- Clients
- 8,370
- Regulatory AUM
- $7.57B
- AUM share
- 100%
- Avg. per client
- $904K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 2500
Avantax Planning Partners charges up to 2.50% a year for its Managed Account Services; its fees and minimums are set out in its brochures on the SEC website.
Avantax WM Holdings, Inc. owns 75% or more of Avantax Planning Partners and is in turn owned by Avantax, Inc. (75% or more). The leadership team of Avantax Planning Partners includes President Jason Allen and Chief Compliance Officer Matthew Bregozzo. It has 261 employees, 200 of them in advisory roles.
Leadership
- Jason AllenVice President
Jeffrey BuchheisterVice President- Serge BudevichVice President & Tax Officer
- Jennifer HanauVice President
Todd MackayVice President- Michael MolnarVice President
Joseph NearyDirector/Vice President- Louie RosalezSR. Vice President
Andrew WattsPresident- Matthew BregozzoChief Compliance Officer
Lisa GokDirector/Secretary- Thomas GooleyDirector
- Winnie LeeAsst. Secretary
- Allan ShoresTreasurer
- David Van HavermaatAsst. Secretary
- Tamas VaysAsst. Secretary
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
- Christopher Matthew Allan
- Kristy Marie Haley
- Christopher Manternach
- Sharon Ann Mora-Schulz
- Deanna Marie Quinlin
- Reagan Marie Rosalez
- Scott Schemmel
- Rhonda Thill
- Andrew David Watts
Staff
- 261 employees
- 200 in advisory functions
- 251 state-registered reps
- 129 broker-dealer reps
- 118 insurance agents
- 2 soliciting firms
- Owns 75% or more of Avantax Planning Partners, Inc.
Avantax WM Holdings, Inc.
Control person · since November 2024
- Owns 75% or more of Avantax WM Holdings, Inc.
Avantax, Inc.
Control person · since December 2024
- Owns 75% or more of Avantax, Inc.
Aretec Group, Inc.
Control person · since November 2023
- Owns 75% or more of Aretec Group, Inc.
GC Two Intermediate Holdings, Inc.
Control person · since November 2023
- Owns 75% or more of GC Two Intermediate Holdings, Inc.
GC Two Holdings, Inc.
Control person · since November 2023
- Owns 75% or more of GC Two Holdings, Inc.
GC Three Holdings, Inc.
Control person · since November 2023
Avantax Planning Partners’ regulatory assets grew 1.6× from $4.59B (June 2021) to $7.57B (June 2026); clients rose from 4,470 to 8,370 and employees from 103 to 261.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jun 2026June 2026 | $7.57B | 8,370 | 261 | 170 |
| Jul 2025July 2025 | $6.93B | 8,371 | 254 | 174 |
| Apr 2024April 2024 | $6.38B | 7,670 | 248 | 109 |
| May 2023May 2023 | $5.46B | 7,350 | 239 | 90 |
| Jul 2022July 2022 | $5.79B | 4,789 | 125 | 21 |
| Jun 2021June 2021 | $4.59B | 4,470 | 103 | 16 |
Besides its headquarters, Avantax Planning Partners has 169 offices, with 26 listed addresses across 15 states.
Iowa · 7 listed addresses
- 210 Jones St, Ste. 104, DubuqueHQ
- 908 W. 35th Street, Davenport
- 307 East Call Street, Algona
- 2345 John F. Kennedy Road, Dubuque
- 916 W 16th St, Pella
- 8550 New York Avenue, Urbandale
- 100 Court Avenue, Des Moines
California · 3 listed addresses
- 1000 Town Center Drive, Oxnard
- 3800 Blackhawk Road, Danville
- 2301 Rosecrans Ave Ste # 5100, El Segundo
Indiana · 2 listed addresses
- 21 Se Third Street, Evansville
- 8604 Allisonville Road, Indianapolis
Louisiana · 2 listed addresses
- 2000 Kaliste Saloom RD Ste 300, Lafayette
- 1101 E Admiral Doyle DR, New Iberia
Texas · 2 listed addresses
- 2707 W Baker RD, Baytown
- 3200 Olympus BLVD, Dallas
Illinois · 1 listed address
- 2107 Swift Drive, Oak Brook
Kentucky · 1 listed address
- 116 Tradepark Drive, Somerset
Michigan · 1 listed address
- 5300 Bay Road, Saginaw
Minnesota · 1 listed address
- 2675 Long Lake RD, Roseville
Montana · 1 listed address
- 501 Park Drive South, Great Falls
New Jersey · 1 listed address
- 600 Parsippany RD, Parsippany
Ohio · 1 listed address
- 6000 Freedom Square Drive, Independence
Pennsylvania · 1 listed address
- 310 Seven Fields BLVD., Seven Fields
South Dakota · 1 listed address
- 909 St. Joseph St, Rapid City
Wisconsin · 1 listed address
- 1 Insight Drive, Platteville
Other business names
Avantax Planning Partners has reported 1 other business name to the SEC.
- Avantax Retirement Plan Services
Contact and registration details
- Legal name
- Avantax Planning Partners, Inc.
- Headquarters
- 210 Jones St, Ste. 104, Dubuque, IA 52001
- Website
- avantax.com
- Phone
- 563-582-2855
- @Avantax-Planning-Partners
- SEC file
- 801-50939
- Structure
- Iowa corporation
- Fiscal year end
- December
Avantax Planning Partners’ named custodians for separately managed accounts are Charles Schwab ($5.41B, 72%) and Fidelity ($2.15B, 28%). Avantax Planning Partners has custody of $7.57B for 8,368 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Phoenix, AZ · $5.41B72%
- FidelityFidelity Personal Trust Company, FSB · Merrimack, NH · $2.15B28%
At year end, Avantax Planning Partners’ separately managed accounts were mostly in funds (83%). Its reported 13F holdings for the quarter ended 30 June 2026 total $4.02B across 454 positions; the largest are Schwab Strategic TR (12.6%), Schwab Strategic TR (8.8%) and Schwab Strategic TR (5.3%).
What the accounts hold
- Stocks8%
- Funds83%
- Bonds3%
- State and local bonds2%
- U.S. government and agency bonds1%
- Cash5%
Filed values cover 99%. The neutral 1% gap has no reported category.
Reported 13F holdings
- $4.02B
- Reported 13F value
- 454
- Positions
- 50.6%
- In the 10 largest
- +10.3%
- Value vs. prior quarter
- Schwab Strategic TR · US Lcap GR ETF12.6%
- Schwab Strategic TR · US Lcap VA ETF8.8%
- Schwab Strategic TR · Intl Eqty ETF5.3%
- Schwab Strategic TR · US Aggregate B4.6%
- Schwab Strategic TR · US Dividend EQ4.3%
- J P Morgan Exchange Traded F · Equity Focus ETF3.8%
- J P Morgan Exchange Traded F · Intl BD Opp ETF3.0%
- SPDR Series Trust · ST Lon Treas ETF3.0%
- American Centy ETF TR · US Sml CP Valu2.7%
- American Centy ETF TR · Avantis Emgmkt2.6%
Together, the ten largest are 50.6% of reported value.
How many clients does Avantax Planning Partners have?
Avantax Planning Partners has 8,370 clients and manages $7.57 billion for them, as of June 2026. They include 6,299 individual clients, 1,216 high-net-worth individuals, and 591 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026
What services does Avantax Planning Partners offer?
Avantax Planning Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Avantax Planning Partners charge?
Avantax Planning Partners charges up to 2.50% a year for its Managed Account Services.
Which custodians does Avantax Planning Partners use?
Avantax Planning Partners’ separately managed account assets are held at Charles Schwab & Co., Inc. (Phoenix, AZ), with $5.41B and Fidelity Personal Trust Company, FSB (Merrimack, NH), with $2.15B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 June 2026
How many financial advisors does Avantax Planning Partners have?
Avantax Planning Partners has 251 investment adviser representatives registered with state securities authorities, out of 261 employees, and 200 perform investment advisory functions. 129 employees are registered representatives of a broker-dealer and 118 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Avantax Planning Partners invest in?
At the end of its last fiscal year, Avantax Planning Partners’ separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 5% cash and equivalents, 2% state and local bonds and 1% 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
Who owns Avantax Planning Partners?
Avantax Planning Partners is owned through a chain of holding companies by GC Three Holdings, Inc. Its direct owner is Avantax WM Holdings, Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 18 June 2026
How does Avantax Planning Partners get paid?
Avantax Planning Partners is paid through a percentage of assets under management, hourly charges 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
How do I contact Avantax Planning Partners?
Avantax Planning Partners’ main office is at 210 Jones St, Ste. 104, Dubuque, IA 52001. Its phone number is 563-582-2855. Its website is avantax.com.