Mark Sheptoff Financial Planning provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Mark Sheptoff Financial Planning reports 252 clients. They include 135 individual clients, 100 high-net-worth individuals, and 10 pension and profit-sharing plans. Of its assets, 100.0% ($467M across 771 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 54% | 11% |
| High-net-worth individuals | 40% | 78% |
| Pension and profit-sharing plans | 4% | 10% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | 3% | 1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 135 | $49.2M | 10.5% | $364K |
| High-net-worth individuals | 100 | $366M | 78.4% | $3.66M |
| Pension and profit-sharing plans | 10 | $46.2M | 9.9% | $4.62M |
| Charitable organizations | Fewer than 5 | $638K | 0.1% | — |
| Corporations and other businesses | 7 | $4.84M | 1.0% | $691K |
| Total | 252 | $467M | 100% | — |
- Clients
- 135
- Regulatory AUM
- $49.2M
- AUM share
- 10.5%
- Avg. per client
- $364K
- Clients
- 100
- Regulatory AUM
- $366M
- AUM share
- 78.4%
- Avg. per client
- $3.66M
- Clients
- 10
- Regulatory AUM
- $46.2M
- AUM share
- 9.9%
- Avg. per client
- $4.62M
- Clients
- Fewer than 5
- Regulatory AUM
- $638K
- AUM share
- 0.1%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $4.84M
- AUM share
- 1.0%
- Avg. per client
- $691K
Total
- Clients
- 252
- Regulatory AUM
- $467M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Mark Sheptoff Financial Planning charges up to 1.00% a year for its Portfolio Management Services. The fee is billed in advance, is negotiable and requires an account of at least $250,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Consulting Services
- Consulting services are billed hourly from $300 per hour, on an estimate of total hours, in arrears on a monthly basis.
- Financial Planning Services
- Financial planning is billed hourly from $300 per hour, on an estimate of total hours, in arrears.
Mark Sheptoff owns 75% or more of Mark Sheptoff Financial Planning. The leadership team of Mark Sheptoff Financial Planning includes Chief Compliance Officer Mark Sheptoff. It has 3 employees, 1 of them in advisory roles.
Leadership
- Mark SheptoffManaging Member, Chief Compliance Officer
- Jean SheptoffLimited Partner
Staff
- 3 employees
- 1 in advisory functions
- Owns 75% or more of Mark Sheptoff Financial Planning LLC
Mark Sheptoff
Control person · since August 1997
- Owns 10% to 25% of Mark Sheptoff Financial Planning LLC
Jean Sheptoff
since January 2016
Mark Sheptoff Financial Planning’s regulatory assets grew from $353M (March 2021) to $467M (March 2026); clients rose from 240 to 252 and employees were 3 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $467M | 252 | 3 | 1 |
| March 2025 | $428M | 236 | 3 | 1 |
| March 2024 | $406M | 234 | 3 | 1 |
| March 2023 | $376M | 235 | 3 | 1 |
| April 2022 | $411M | 252 | 3 | 1 |
| March 2021 | $353M | 240 | 3 | 1 |
Besides its headquarters, Mark Sheptoff Financial Planning has 0 offices, with 1 listed address in Connecticut.
Connecticut · 1 listed address
- 703 Hebron Ave 3rd Floor, GlastonburyHQ
Other business names
Mark Sheptoff Financial Planning has reported 1 other business name to the SEC.
- Mark Sheptoff Financial Planning, LLC
Contact and registration details
- Legal name
- Mark Sheptoff Financial Planning LLC
- Headquarters
- 703 Hebron Ave 3rd Floor, Glastonbury, CT 06033
- Website
- marksheptoff.com
- Phone
- 860-734-1090
- SEC file
- 801-57744
- Founded
- 1997
- Structure
- Connecticut LLC
- Fiscal year end
- December
Mark Sheptoff Financial Planning uses Fidelity ($467M) as custodian for its separately managed accounts. Mark Sheptoff Financial Planning does not have custody of client assets.
- FidelityNational Financial Services LLC · Boston, MA · $467M100%
At year end, Mark Sheptoff Financial Planning’s separately managed accounts were largely in stocks (41%) and cash (26%). Its reported 13F holdings for the quarter ended 30 June 2026 total $188M across 513 positions; the largest are Microsoft Corp. (9.1%), Nextera Energy Inc. (8.2%) and Celestica Inc. (5.7%).
What the accounts hold
- Stocks41%
- Funds12%
- Bonds21%
- U.S. government and agency bonds20%
- Investment grade corporate bonds1%
- Cash26%
Reported 13F holdings
- $188M
- Reported 13F value
- 513
- Positions
- 48.6%
- In the 10 largest
- −0.3%
- Value vs. prior quarter
- Microsoft Corp.9.1%
- Nextera Energy Inc.8.2%
- Celestica Inc.5.7%
- Apple Inc.4.7%
- Palantir Technologies Inc. CL A4.5%
- Johnson &johnson4.4%
- Rtx Corporation Com Usd1.004.0%
- Abbvie Inc.2.8%
- Pepsico Inc.2.6%
- Veeva Systems Inc.2.6%
Together, the ten largest are 48.6% of reported value.
How many clients does Mark Sheptoff Financial Planning have?
Mark Sheptoff Financial Planning has 252 clients and manages $467 million for them, as of March 2026. They include 135 individual clients, 100 high-net-worth individuals, and 10 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Mark Sheptoff Financial Planning offer?
Mark Sheptoff Financial Planning provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Mark Sheptoff Financial Planning charge?
Mark Sheptoff Financial Planning charges up to 1.00% a year for its Portfolio Management Services. The fee is billed in advance, is negotiable and requires an account of at least $250,000.
Which custodians does Mark Sheptoff Financial Planning use?
Mark Sheptoff Financial Planning’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $467M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Mark Sheptoff Financial Planning have?
Mark Sheptoff Financial Planning has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 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
What does Mark Sheptoff Financial Planning invest in?
At the end of its last fiscal year, Mark Sheptoff Financial Planning’s separately managed accounts held 41% exchange-traded equities, 26% cash and equivalents, 20% U.S. government and agency bonds, 12% registered funds (mutual funds, ETFs, BDCs) and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Mark Sheptoff Financial Planning have a minimum investment?
Yes, Mark Sheptoff Financial Planning’s minimum account size for its Portfolio Management Services is $250K.
Who owns Mark Sheptoff Financial Planning?
Mark Sheptoff Financial Planning’s direct owners are Mark Sheptoff (75% or more) and Jean Sheptoff (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Mark Sheptoff Financial Planning get paid?
Mark Sheptoff Financial Planning is paid through a percentage of assets under management and hourly charges. 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
Is Mark Sheptoff Financial Planning registered with the SEC?
Yes, Mark Sheptoff Financial Planning has been registered with the SEC as an investment adviser since 11 July 2000. Its CRD number is 108742 and its SEC file number is 801-57744.
Source: Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record
How do I contact Mark Sheptoff Financial Planning?
Mark Sheptoff Financial Planning’s main office is at 703 Hebron Ave 3rd Floor, Glastonbury, CT 06033. Its phone number is 860-734-1090. Its website is marksheptoff.com.