{"url":"https://nivawealth.com/firms/platt-investment-counsel-118737","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/118737","regulatoryAum":153648538,"crd":"118737","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2275710","suffix":null,"lastName":"PLATT","firstName":"PETER","middleName":"MARKERT"}],"total":1,"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":"2021-02-25","regulatoryAum":138241603,"clients":131,"employees":2,"offices":2},{"filedOn":"2022-07-22","regulatoryAum":150378778,"clients":139,"employees":1,"offices":2},{"filedOn":"2023-01-17","regulatoryAum":113452831,"clients":135,"employees":1,"offices":2},{"filedOn":"2024-01-19","regulatoryAum":130521835,"clients":145,"employees":1,"offices":2},{"filedOn":"2025-03-07","regulatoryAum":146023530,"clients":142,"employees":1,"offices":1},{"filedOn":"2026-03-05","regulatoryAum":153648538,"clients":145,"employees":1,"offices":1}],"secFileNumber":"801-112826","legalName":"Platt Investment Counsel, LLC","displayName":"Platt Investment Counsel","slug":"platt-investment-counsel-118737","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Minnesota limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"12 April 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1011584.2887323943,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":153648538,"discretionary":153648538,"discretionaryAccounts":382,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":90,"regulatoryAum":26839428},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":116805541},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":10003569}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":0.7,"from":0},{"to":4000000,"pct":0.55,"from":2000000},{"to":null,"pct":0.45,"from":4000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014942","versionId":1014942,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-05","documentName":"FORM ADV PART 2 DISCLOSURE DOCUMENT","fee_rate_low":0.45,"fee_rate_high":0.7,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:29:33.116331+00:00","documents":[{"name":"FORM ADV PART 2 DISCLOSURE DOCUMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014942","versionId":1014942,"submittedOn":"2026-03-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":145634135}],"custodyNote":"Platt Investment Counsel has custody of $147M in client assets for 145 clients.","otherCustodians":[],"leadership":[{"name":"Peter Platt","title":"President & Chief Compliance Officer","crd":"2275710"}],"ownership":[{"label":"Peter Platt","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since July 2022. Also a trustee of The Mary F. Platt Living Trust in the 25% to 50% band and a control person, since July 2022."},{"label":"The Mary F. Platt Living Trust","detail":"Owner trust in the 25% to 50% ownership band and a control person, since July 2022."},{"label":"David Platt","detail":"Indirect owner: a trustee of The Mary F. Platt Living Trust in the 25% to 50% band and a control person, since July 2022.","parent":"The Mary F. Platt Living Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"407-416-0066","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":94},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/118737/PDF/118737.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014942","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 Platt Investment Counsel have?","answer":"Platt Investment Counsel has 145 clients and manages $154 million for them, as of March 2026. They include 90 individual clients, 52 high-net-worth individuals and 3 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Platt Investment Counsel offer?","answer":"Platt Investment Counsel provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Platt Investment Counsel charge?","answer":"Platt Investment Counsel charges 0.45%–0.70% a year for its Portfolio Management Services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and requires an account of at least $500,000.","source":"FORM ADV PART 2 DISCLOSURE DOCUMENT, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Platt Investment Counsel use?","answer":"Platt Investment Counsel’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $146M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Platt Investment Counsel have?","answer":"Platt Investment Counsel has 1 investment adviser representative registered with state securities authorities, out of 1 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Platt Investment Counsel invest in?","answer":"At the end of its last fiscal year, Platt Investment Counsel’s separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 5% cash and equivalents and 1% exchange-traded equities.","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":"Does Platt Investment Counsel have a minimum investment?","answer":"Yes, Platt Investment Counsel’s minimum account size for its Portfolio Management Services is $500K.","source":"FORM ADV PART 2 DISCLOSURE DOCUMENT, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Platt Investment Counsel?","answer":"Platt Investment Counsel is owned through a trust by David Platt. Its direct owners are Peter Platt (75% or more) and the Mary F. Platt Living Trust (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Platt Investment Counsel get paid?","answer":"Platt Investment Counsel is paid through a percentage of assets under management. 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 Platt Investment Counsel?","answer":"Its phone number is 407-416-0066.","source":"Form ADV Part 1A, Item 1.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/platt-investment-counsel-118737/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-08","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1859195/000208585326000646/0002085853-26-000646-index.html","totalValue":149258365,"positionCount":14,"top10Share":0.9914255391984228,"top10":[{"issuer":"VANGUARD WORLD FD","titleOfClass":"ESG US STK ETF","cusip":"921910733","value":46129409,"shares":348831,"shareType":"SH","priorValue":38981734,"priorShares":347214},{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":26969238,"shares":36623,"shareType":"SH","priorValue":21284714,"priorShares":36877},{"issuer":"ISHARES TR","titleOfClass":"CORE S&P MCP ETF","cusip":"464287507","value":22060041,"shares":286085,"shareType":"SH","priorValue":19301039,"priorShares":285814},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"TOTAL BND MRKT","cusip":"921937835","value":11497181,"shares":156616,"shareType":"SH","priorValue":11438869,"priorShares":155335},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHRT TRM CORP BD","cusip":"92206C409","value":11437775,"shares":144727,"shareType":"SH","priorValue":11327524,"priorShares":142898},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"LONG TERM BOND","cusip":"921937793","value":11370969,"shares":164964,"shareType":"SH","priorValue":11148138,"priorShares":162084},{"issuer":"ISHARES TR","titleOfClass":"RUSSELL 2000 ETF","cusip":"464287655","value":9802181,"shares":32625,"shareType":"SH","priorValue":8076616,"priorShares":32567},{"issuer":"VANGUARD INTL EQUITY INDEX F","titleOfClass":"ALLWRLD EX US","cusip":"922042775","value":7652740,"shares":91376,"shareType":"SH","priorValue":6799854,"priorShares":90544},{"issuer":"TESLA INC","titleOfClass":"COM","cusip":"88160R101","value":567810,"shares":1350,"shareType":"SH","priorValue":557625,"priorShares":1500},{"issuer":"BRISTOL-MYERS SQUIBB CO","titleOfClass":"COM","cusip":"110122108","value":491211,"shares":8525,"shareType":"SH"}],"positionsListed":14,"positions":[{"issuer":"VANGUARD WORLD FD","titleOfClass":"ESG US STK ETF","cusip":"921910733","value":46129409,"shares":348831,"shareType":"SH","priorValue":38981734,"priorShares":347214},{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":26969238,"shares":36623,"shareType":"SH","priorValue":21284714,"priorShares":36877},{"issuer":"ISHARES TR","titleOfClass":"CORE S&P MCP ETF","cusip":"464287507","value":22060041,"shares":286085,"shareType":"SH","priorValue":19301039,"priorShares":285814},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"TOTAL BND MRKT","cusip":"921937835","value":11497181,"shares":156616,"shareType":"SH","priorValue":11438869,"priorShares":155335},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHRT TRM CORP BD","cusip":"92206C409","value":11437775,"shares":144727,"shareType":"SH","priorValue":11327524,"priorShares":142898},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"LONG TERM BOND","cusip":"921937793","value":11370969,"shares":164964,"shareType":"SH","priorValue":11148138,"priorShares":162084},{"issuer":"ISHARES TR","titleOfClass":"RUSSELL 2000 ETF","cusip":"464287655","value":9802181,"shares":32625,"shareType":"SH","priorValue":8076616,"priorShares":32567},{"issuer":"VANGUARD INTL EQUITY INDEX F","titleOfClass":"ALLWRLD EX US","cusip":"922042775","value":7652740,"shares":91376,"shareType":"SH","priorValue":6799854,"priorShares":90544},{"issuer":"TESLA INC","titleOfClass":"COM","cusip":"88160R101","value":567810,"shares":1350,"shareType":"SH","priorValue":557625,"priorShares":1500},{"issuer":"BRISTOL-MYERS SQUIBB CO","titleOfClass":"COM","cusip":"110122108","value":491211,"shares":8525,"shareType":"SH"},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL A","cusip":"02079K305","value":331639,"shares":928,"shareType":"SH","priorValue":207043,"priorShares":720},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":321479,"shares":1111,"shareType":"SH","priorValue":237294,"priorShares":935},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":317993,"shares":463,"shareType":"SH","priorValue":276666,"priorShares":463},{"issuer":"ISHARES TR","titleOfClass":"MORNINGSTAR GRWT","cusip":"464287119","value":308699,"shares":2638,"shareType":"SH","priorValue":251876,"priorShares":2638}]},"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."}