Planmember Asset Management Corporation
Registered investment adviser · Carpinteria, CA · CRD #289591
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
8
Disclosure events
5
Firm details
- Telephone: 805-684-1199
- SEC file number: 801-111678
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 5 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.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 8 |
| Employees performing investment advisory functions (including research) | 3 |
| Employees who are registered representatives of a broker-dealer | 5 |
| Employees registered as investment adviser representatives with a state | 3 |
| Employees registered as IARs for another investment adviser | 3 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| 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 | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
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:
- Provides employee compensation specifically for obtaining clients