{"url":"https://nivawealth.com/firms/lincoln-investment-planning-519","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/519","regulatoryAum":21994851422,"crd":"519","secFileNumber":"801-14059","legalName":"Lincoln Investment Planning, LLC","displayName":"Lincoln Investment Planning","website":"http://www.lincolninvestment.com","linkedinUrl":"https://www.linkedin.com/company/lincoln-investment-planning/","founded":null,"organization":"Pennsylvania limited liability company","fiscalYearEnd":"December","headquarters":{"street":"601 Office Center Drive, Suite 300","city":"Fort Washington","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19034-3232"},"tradeNames":["CMW","Creating and Managing Wealth","Financial Directors","Gabor Financial Solutions","Shelgren Financial Group","The Gabor Agency","The Legend Group","The Lincoln Investment Companies","The Voyager Group"],"registration":{"secApproved":"11 September 1978","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":1238,"advisory":874,"brokerDealerReps":861,"insuranceAgents":661,"promoters":3},"aum":{"discretionary":12945459856,"discretionaryAccounts":103177,"nonDiscretionary":9049391566,"nonDiscretionaryAccounts":96206,"wrapProgram":10082650678,"nonUsClientsPct":1,"nonAumClients":595},"clientTypes":[{"label":"Individuals (other than HNW)","clients":133528,"regulatoryAum":17421790481},{"label":"High-net-worth individuals","clients":4604,"regulatoryAum":4301655180},{"label":"Pension and profit-sharing plans","clients":15,"regulatoryAum":30346046},{"label":"Charitable organizations","clients":41,"regulatoryAum":38069096},{"label":"Corporations and other businesses","clients":181,"regulatoryAum":202990619}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":20406646966}],"custodyNote":"Lincoln Investment Planning has custody of $21.38B for 137,154 clients.","otherCustodians":[],"leadership":[{"name":"Daniel Sean Alexander","title":"Executive Vice-President, Chief Business Development Officer","crd":"4051341"},{"name":"Anthony Charles Bueti","title":"Executive Vice-President, Chief Operating Officer","crd":"5876104"},{"name":"Karen Dougherty Bura","title":"Vice-President, Controller","crd":"1666006"},{"name":"Jason Christopher Estes","title":"Executive Vice-President, Chief","crd":"7485210"},{"name":"Steven Neil Flax","title":"Executive Vice-President, Chief Human Resources Officer","crd":"5655474"},{"name":"Maureen Ann Mattson","title":"Executive Vice-President, General Counsel & Chief Compliance Officer","crd":"5952728"},{"name":"Diane Mulherrin McCarthy","title":"Executive Vice-President/Chief Financial Officer/Principal Financial Officer/Elected Manager","crd":"4923328"},{"name":"Shashi Mehrotra","title":"Senior Vice-President, Chief Investment Officer","crd":"2640875"},{"name":"Susan Mary Oberlies","title":"Senior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk","crd":"3009149"},{"name":"Edward Samuel JR Forst","title":"Elected Manager","crd":"708024"},{"name":"Kathleen Kinslow Leckey","title":"CEO","crd":"2447809"}],"ownership":[{"label":"Lincoln Investment Capital","detail":"Member/owner in the 75% or more ownership band and a control person, since August 2015."},{"label":"Lincoln Investment Capital Holdings, LLC","detail":"Member/owner in the 75% or more ownership band and a control person, since August 2015."},{"label":"Lincoln Investment Group Holdings, Inc.","detail":"Indirect owner: a indirect owner of Lincoln Investment Capital Holdings, LLC in the 50% to 75% band and a control person, since August 2015.","parent":"Lincoln Investment Capital Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":314,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"3101 N. Central Ave.","city":"Phoenix"}]},{"state":"California","offices":1,"addresses":[{"street":"21800 Burbank BLVD","city":"Woodland Hills"}]},{"state":"Florida","offices":4,"addresses":[{"street":"7077 Bonneval RD","city":"Jacksonville"},{"street":"2660 Stonewood Park Loop","city":"Land O Lakes"},{"street":"1410 Piedmont Drive East","city":"Tallahassee"},{"street":"16241 N. Florida Ave","city":"Lutz"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"1895 Phoenix BLVD., Suite 304","city":"Atlanta"}]},{"state":"Illinois","offices":2,"addresses":[{"street":"2571 Division Street","city":"Joliet"},{"street":"500 Waters Edge","city":"Lombard"}]},{"state":"Indiana","offices":1,"addresses":[{"street":"111 Congressional BLVD","city":"Carmel"}]},{"state":"Massachusetts","offices":2,"addresses":[{"street":"57 Cedar Street","city":"Worcester"},{"street":"35 Braintree Hill Office Park","city":"Braintree"}]},{"state":"Michigan","offices":2,"addresses":[{"street":"29905 Middlebelt RD","city":"Farmington Hills"},{"street":"990 North Main Street","city":"Royal Oak"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"10000 Sagemore Drive","city":"Marlton"}]},{"state":"New York","offices":3,"addresses":[{"street":"61 John Muir DR","city":"Amherst"},{"street":"1425 Jefferson Road","city":"Rochester"},{"street":"General Exchange Building","city":"Syracuse"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"232 N. Second Street","city":"Albemarle"}]},{"state":"Ohio","offices":3,"addresses":[{"street":"1115 Tower East","city":"Shaker Heights"},{"street":"2 Summit Park Drive","city":"Independence"},{"street":"25825 Science Park Drive","city":"Cleveland"}]},{"state":"Pennsylvania","offices":3,"addresses":[{"street":"601 Office Center Drive, Suite 300","city":"Fort Washington","headquarters":true},{"street":"5 Walnut Grove Drive","city":"Horsham"},{"street":"1 East Broad Street","city":"Bethlehem"}]},{"state":"Washington","offices":1,"addresses":[{"street":"3900 E. Valley Road","city":"Renton"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"215-887-8111","stateRegisteredReps":864,"otherAdviserReps":656,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":95},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"20 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/519/PDF/519.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Lincoln Investment Planning have?","answer":"Lincoln Investment Planning has 138,369 clients and manages $22 billion for them, as of July 2026. They include 133,528 other individuals, 4,604 high-net-worth individuals and 181 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lincoln Investment Planning offer?","answer":"Lincoln Investment Planning provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions and selecting other managers.","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 Lincoln Investment Planning use?","answer":"Lincoln Investment Planning’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $20,406,646,966. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lincoln Investment Planning have?","answer":"Lincoln Investment Planning has 864 investment adviser representatives registered with state securities authorities, out of 1,238 employees, and 874 perform investment advisory functions. 861 are registered representatives of a broker-dealer and 661 are 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 Lincoln Investment Planning invest in?","answer":"At the end of its last fiscal year, Lincoln Investment Planning’s separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities and 1% cash and equivalents. It advises no private funds of its own.","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 Lincoln Investment Planning?","answer":"Lincoln Investment Planning is owned through a holding company by Lincoln Investment Group Holdings, Inc. Its direct owners are Lincoln Investment Capital (75% or more) and Lincoln Investment Capital Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lincoln Investment Planning get paid?","answer":"Lincoln Investment Planning is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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"}}],"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 Wealth 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."}