{"url":"https://nivawealth.com/firms/hfh-planning-114046","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/114046","regulatoryAum":206110519,"crd":"114046","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4999166","suffix":null,"lastName":"MAY","firstName":"PETER","middleName":"DICKINSON"},{"crd":"5339881","suffix":null,"lastName":"POOLE","firstName":"GEORGE","middleName":"MARTIN"}],"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":"2021-05-05","regulatoryAum":147312143,"clients":124,"employees":3,"offices":1},{"filedOn":"2022-07-21","regulatoryAum":174667940,"clients":125,"employees":3,"offices":1},{"filedOn":"2023-03-18","regulatoryAum":148264308,"clients":132,"employees":3,"offices":1},{"filedOn":"2024-03-21","regulatoryAum":169057797,"clients":123,"employees":3,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":173597592,"clients":119,"employees":3,"offices":1},{"filedOn":"2026-04-09","regulatoryAum":206110519,"clients":122,"employees":2,"offices":1}],"secFileNumber":"801-62326","legalName":"HFH Planning Inc.","displayName":"HFH Planning","slug":"hfh-planning-114046","website":"https://hfhplanning.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/hfh-planning-inc.","founded":"1993","organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"16 September 2003","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1672195.713114754,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":206110519,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":206110519,"nonDiscretionaryAccounts":454,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":66,"regulatoryAum":38664790},{"label":"High-net-worth individuals","clients":56,"regulatoryAum":165343087},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":2102642}],"feePrograms":[{"role":"main","program":"Investment advisory fee schedule","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":1000000,"pct":0.9,"from":500000},{"to":null,"pct":0.65,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-02-20","documentName":"FORM ADV PART 2AB - FIRM BROCHURE","fee_rate_low":0.65,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial plan development","summary":"Financial plans are billed at $360 an hour after an initial $1,080 payment for three hours, which is negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"submittedOn":"2026-02-20","documentName":"FORM ADV PART 2AB - FIRM BROCHURE"},{"role":"other","program":"Hourly planning engagements","summary":"Limited-scope hourly planning services are billed at $360 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"submittedOn":"2026-02-20","documentName":"FORM ADV PART 2AB - FIRM BROCHURE"},{"role":"other","program":"Ongoing planning and advisory services","summary":"Ongoing planning is charged as a percentage of combined net worth and gross income: 0.60% to $1 million, 0.50% on the next $1 million, 0.30% thereafter; minimum annual fee $4,800.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"submittedOn":"2026-02-20","documentName":"FORM ADV PART 2AB - FIRM BROCHURE"},{"role":"other","program":"Tax preparation","summary":"Tax preparation is billed separately with a minimum fee of $400; eligible federal and state returns are filed electronically without an additional fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"submittedOn":"2026-02-20","documentName":"FORM ADV PART 2AB - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:17:37.22293+00:00","documents":[{"name":"FORM ADV PART 2AB - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","versionId":1010539,"submittedOn":"2026-02-20"}]},"custodians":[{"name":"Tiaa-Cref Individual & Institutional Services, LLC","shortName":"Tiaa-Cref Individual & Institutional Services","location":"New York, NY","smaAssets":4424441},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":204006328}],"custodyNote":"HFH Planning does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"George Poole","title":"President and Chief Compliance Officer","crd":"5339881"},{"name":"Peter May","title":"Secretary and Assitant Treasurer","crd":"4999166"}],"ownership":[{"label":"Peter May","detail":"Secretary and assitant treasurer in the 25% to 50% ownership band and a control person, since March 2017."},{"label":"GM Poole Revocable Trust","detail":"Share holder in the 50% to 75% ownership band and a control person, since June 2025."},{"label":"George Poole","detail":"Indirect owner: shareholder / trustee of GM Poole Revocable Trust and a control person, since June 2025.","parent":"GM Poole Revocable Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"brochureServices":["education planning","estate planning","insurance","tax planning","tax preparation"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-402-5444","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":86},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"9 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/114046/PDF/114046.pdf","brochureDate":"20 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010539","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 HFH Planning have?","answer":"HFH Planning has 122 clients and manages $206 million for them, as of April 2026. They include 66 individual clients and 56 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does HFH Planning offer?","answer":"HFH Planning provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, tax 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 HFH Planning charge?","answer":"HFH Planning charges 0.65%–1.00% a year for its Investment advisory fee schedule. Each asset band is charged at its own rate. The fee is negotiable.","source":"FORM ADV PART 2AB - FIRM BROCHURE, filed 20 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does HFH Planning use?","answer":"HFH Planning’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $204M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $4.42M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does HFH Planning have?","answer":"HFH Planning has 2 investment adviser representatives registered with state securities authorities, out of 2 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 HFH Planning invest in?","answer":"At the end of its last fiscal year, HFH Planning’s separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 4% cash and equivalents and 2% pooled vehicles (private funds and similar).","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 HFH Planning?","answer":"HFH Planning’s direct owners are Peter May (25% to 50%) and GM Poole Revocable Trust (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 9 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does HFH Planning get paid?","answer":"HFH Planning 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact HFH Planning?","answer":"Its phone number is 212-402-5444. Its website is hfhplanning.com.","source":"Form ADV Part 1A, Item 1.F, filed 9 April 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."}