{"url":"https://nivawealth.com/firms/irvine-wealth-planning-strategies-284120","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/284120","regulatoryAum":156991981,"crd":"284120","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7045466","suffix":null,"lastName":"Eason","firstName":"Rebekah","middleName":"Elizabeth"},{"crd":"4868740","suffix":null,"lastName":"IRVINE","firstName":"AMY","middleName":"ELIZABETH"},{"crd":"5002125","suffix":null,"lastName":"WELKER","firstName":"KATRINA","middleName":"MARIE"}],"total":3,"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":"2021-02-18","regulatoryAum":47024544,"clients":168,"employees":5,"offices":4},{"filedOn":"2022-05-25","regulatoryAum":60200000,"clients":196,"employees":5,"offices":3},{"filedOn":"2023-02-13","regulatoryAum":72594300,"clients":249,"employees":5,"offices":3},{"filedOn":"2024-06-20","regulatoryAum":95722587,"clients":257,"employees":5,"offices":3},{"filedOn":"2025-03-07","regulatoryAum":117735789,"clients":270,"employees":8,"offices":6},{"filedOn":"2026-02-24","regulatoryAum":156991981,"clients":229,"employees":7,"offices":5}],"secFileNumber":"801-112546","legalName":"Irvine Wealth Planning Strategies, LLC","displayName":"Irvine Wealth Planning Strategies","slug":"irvine-wealth-planning-strategies-284120","website":"https://rootedpg.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/19110624/","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"10 East Market Street","city":"Corning","state":"NY","stateName":"New York","country":"United States","postalCode":"14830"},"tradeNames":["Rooted Planning Group"],"registration":{"secApproved":"1 March 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":701684.4541284404,"staff":{"employees":7,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":156991981,"discretionary":154991097,"discretionaryAccounts":774,"nonDiscretionary":2000884,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":100},"clientTypes":[{"label":"Individuals (other than HNW)","clients":138,"regulatoryAum":46116666},{"label":"High-net-worth individuals","clients":80,"regulatoryAum":106850545},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":2444019},{"label":"Charitable organizations","clients":5,"regulatoryAum":1580263},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":488}],"feePrograms":[{"role":"other","program":"Pension Consulting","summary":"Pension consulting is an annual fixed fee generally from $6,000 to $20,000, possibly negotiable, paid quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011413","versionId":1011413,"submittedOn":"2026-02-24","documentName":"RPG FORM ADV PART 2A 2024 DISCLOSURE"},{"role":"other","program":"Project-Based Financial Planning (Stage 1)","summary":"Stage 1 project-based consulting is a fixed fee of a minimum $3,350 over about three months, negotiable, typically half paid on signing and half a month later.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011413","versionId":1011413,"submittedOn":"2026-02-24","documentName":"RPG FORM ADV PART 2A 2024 DISCLOSURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:29:11.536823+00:00","documents":[{"name":"RPG FORM ADV PART 2A 2024 DISCLOSURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011413","versionId":1011413,"submittedOn":"2026-02-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":122844516}],"custodyNote":"Irvine Wealth Planning Strategies has custody of $50.6M in client assets for 93 clients.","leadership":[{"name":"Rebekah Eason","title":"Owner","crd":"7045466"},{"name":"Amy Irvine","title":"Principal, CCO","crd":"4868740"},{"name":"Katrina Welker","title":"Owner","crd":"5002125"}],"ownership":[{"label":"Amy Irvine","detail":"Principal, cco in the 75% or more ownership band and a control person, since May 2016."},{"label":"Katrina Welker","detail":"Owner in the 10% to 25% ownership band, since January 2020."},{"label":"Rebekah Eason","detail":"Owner in the 5% to 10% ownership band, since January 2021."}],"filedOffices":{"otherThanPrincipal":4,"privateResidences":4},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"10 East Market Street","city":"Corning","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"607-438-2761","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops","Other"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":87},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":8},{"label":"Other","percent":1,"detail":"Tiaa Variable Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"24 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/284120/PDF/284120.pdf","brochureDate":"24 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011413","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 Irvine Wealth Planning Strategies have?","answer":"Irvine Wealth Planning Strategies has 229 clients and manages $157 million for them, as of February 2026. They include 138 individual clients, 80 high-net-worth individuals, and 6 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 Irvine Wealth Planning Strategies offer?","answer":"Irvine Wealth Planning Strategies provides financial planning, portfolio management for individuals and small businesses, pension consulting, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Irvine Wealth Planning Strategies use?","answer":"Irvine Wealth Planning Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $123M. 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 Irvine Wealth Planning Strategies have?","answer":"Irvine Wealth Planning Strategies has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 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 Irvine Wealth Planning Strategies invest in?","answer":"At the end of its last fiscal year, Irvine Wealth Planning Strategies’ separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 2% exchange-traded equities, 2% pooled vehicles (private funds and similar) and 1% other. The 1% other category is described as: Tiaa Variable Annuities.","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 Irvine Wealth Planning Strategies?","answer":"Irvine Wealth Planning Strategies’ direct owners are Amy Irvine (75% or more), Katrina Welker (10% to 25%) and Rebekah Eason (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Irvine Wealth Planning Strategies get paid?","answer":"Irvine Wealth Planning Strategies is paid through 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":"Is Irvine Wealth Planning Strategies registered with the SEC?","answer":"Yes, Irvine Wealth Planning Strategies has been registered with the SEC as an investment adviser since 1 March 2018. Its CRD number is 284120 and its SEC file number is 801-112546.","source":"Form ADV Part 1A, Item 1, filed 24 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Irvine Wealth Planning Strategies?","answer":"Irvine Wealth Planning Strategies’ main office is at 10 East Market Street, Corning, NY 14830. Its phone number is 607-438-2761. Its website is rootedpg.com.","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."}