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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

INVESTMENT MANAGEMENT & PLANNING LLC

CRD 146041

GREENVILLE, DE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2082ec0a-5b56-f4c5-c523-db5e6adeeba0

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2016 to Mar 25, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $239MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $239M
Private client RAUM: $235MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $59.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 731
Individual clients: 189
High net worth clients: 314
SEC number: 801-107553
CRD: 146041
Filings on the tape: 17
First filed: Mar 25, 2016
Latest filed: Mar 25, 2026
Organised: Limited Liability Company, DE
Website: imandp.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
HOWARD CALVERT RICHARDSON	Certified Financial Planner	GREENVILLE, DE	24	34	n/a	yes
JOHN MICHAEL ABOOD	Certified Financial Planner	GREENVILLE, DE	16	31	4	yes
JEFFREY H. MACDONALD	Certified Financial Planner\|Chartered Financial Consultant	Fort Myers, FL \| GREENVILLE, DE	12	18	1	yes
STEPHEN MAXWELL LAMBERT	n/a	MIDDLETOWN, DE \| GREENVILLE, DE	0	10	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
RICHARDSON, HOWARD, CALVERT	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	E	yes	01/2002	Mar 25, 2016	Jan 24, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT MYERS	FL	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$239M	$239M	3	3	1	n/a	n/a
2024	Mar 7, 2025	$205M	$205M	3	3	1	n/a	n/a
2023	Jan 24, 2024	$197M	$197M	3	3	1	n/a	n/a
2022	Jan 27, 2023	$186M	$186M	3	3	1	n/a	n/a
2021	Feb 16, 2022	$229M	$229M	3	3	1	n/a	n/a
2020	Mar 22, 2021	$167M	$167M	4	3	1	n/a	n/a
2019	Feb 7, 2020	$157M	$157M	5	4	1	n/a	n/a
2018	Mar 27, 2019	$133M	$133M	4	4	1	n/a	n/a
2017	Mar 29, 2018	$143M	$143M	5	4	1	n/a	n/a
2016	Mar 22, 2017	$120M	$120M	4	3	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$239M	$205M	16.4%	$186M	8.8%	3	3	1	1

Relationships

Registered with (7)

← STEPHEN MAXWELL LAMBERTAdvisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← JEFFREY H. MACDONALDAdvisorregistration: current employment
May 29, 2014 to presentfactForm ADV
← JOHN MICHAEL ABOODAdvisorregistration: previous registration
Jan 1, 2005 to Apr 15, 2009factForm ADV
← HOWARD CALVERT RICHARDSONAdvisorregistration: current employment
Feb 25, 2002 to presentfactForm ADV
← JIE HUANGAdvisorregistration: previous registration
Mar 17, 2017 to May 18, 2020factForm ADV
← Michael Joseph SicuranzaAdvisorregistration: previous registration
Feb 25, 2002 to Apr 15, 2009factForm ADV
← LISA M LAMARCHEAdvisorregistration: previous registration
Feb 25, 2002 to Apr 15, 2009factForm ADV

Controls (1)

← RICHARDSON, HOWARD, CALVERTOwnerMANAGING MEMBER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 25, 2016 to Jan 24, 2024factForm ADV

Dated events

Occurred
Mar 25, 2016
First Form ADV filing
Investment Management & Planning Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2082ec0a-5b56-f4c5-c523-db5e6adeeba0
First observed: Mar 25, 2016
Last observed: Mar 25, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INVESTMENT MANAGEMENT & PLANNING LLC

CRD 146041

GREENVILLE, DE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2082ec0a-5b56-f4c5-c523-db5e6adeeba0

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

HOWARD CALVERT RICHARDSON

Certified Financial Planner

GREENVILLE, DE

n/a

yes

JOHN MICHAEL ABOOD

Certified Financial Planner

GREENVILLE, DE

yes

JEFFREY H. MACDONALD

Certified Financial Planner|Chartered Financial Consultant

Fort Myers, FL | GREENVILLE, DE

yes

STEPHEN MAXWELL LAMBERT

n/a

MIDDLETOWN, DE | GREENVILLE, DE

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RICHARDSON, HOWARD, CALVERT

MANAGING MEMBER / CHIEF COMPLIANCE OFFICER

yes

01/2002

Mar 25, 2016

Jan 24, 2024

City

State

Country

Employees

Also broker-dealer

FORT MYERS

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$239M

n/a

2024

Mar 7, 2025

$205M

n/a

2023

Jan 24, 2024

$197M

n/a

2022

Jan 27, 2023

$186M

n/a

2021

Feb 16, 2022

$229M

n/a

2020

Mar 22, 2021

$167M

n/a

2019

Feb 7, 2020

$157M

n/a

2018

Mar 27, 2019

$133M

n/a

2017

Mar 29, 2018

$143M

n/a

2016

Mar 22, 2017

$120M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$239M

$205M

16.4%

$186M

8.8%