Avantax Planning Partners, Inc.

Registered investment adviser · Dubuque, IA · CRD #106237

Form ADV data as of 2026-09-01

Regulatory assets

$7.57 billion

Total accounts

13,797

Employees

261

Disclosure events

Firm details

Website: https://avantax.com/affiliation-models/registered-investment-advisors-ria
Telephone: 563-582-2855
SEC file number: 801-50939
Most recent Form ADV filing: 2026-06-18
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Charged with a felony (past 10 years)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$7.56 billion
Non-discretionary regulatory assets under management	$5.3 million
Total regulatory assets under management	$7.57 billion
Discretionary accounts	13,793
Non-discretionary accounts	4
Total accounts	13,797
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	261
Employees performing investment advisory functions (including research)	200
Employees who are registered representatives of a broker-dealer	129
Employees registered as investment adviser representatives with a state	251
Employees registered as IARs for another investment adviser	87
Employees who are licensed insurance agents	118
Firms or persons who solicit advisory clients on the firm's behalf	2

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$7.57 billion
Clients for whom the firm has custody	8,368
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	4

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)

Other business activities

Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorTrust companyAccountant or accounting firmInsurance company or agencyPension consultant

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	6,299	$1.62 billion
High net worth individuals	1,216	$3.58 billion
Pension and profit sharing plans (not the participants or government plans)	591	$2.16 billion
Charitable organizations	153	$49.6 million
Corporations or other businesses not listed above	111	$152.5 million