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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PLANNERS FINANCIAL SERVICES, INC.

CRD 6751

MENDOTA HEIGHTS, MN

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:5a7e419f-9d2d-0949-5b2d-ba2f3860c3e3

Data as of Mar 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Mar 22, 2023
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $96.4MItem 5.F on the latest filing (2023-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $96.4M
Private client RAUM: $96.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 501
Individual clients: 141
High net worth clients: 43
Custody, client assets: $17.4M
SEC number: 801-11036
CRD: 6751
Filings on the tape: 17
First filed: Mar 29, 2012
Latest filed: Mar 22, 2023
Organised: Corporation, Minnesota

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
MCCOY, DONALD LEAVITT	PRESIDENT-CHIEF COMPLIANCE OFFICER-TREASURER	E	yes	03/2004	Mar 29, 2012	Mar 22, 2023
CARTER MCCOY, DEBORAH	BOARD MEMBER, SECRETARY	Na	no	10/2005	Mar 29, 2012	Mar 22, 2023
GUSTAFSON, TRACY ANNE	SENIOR VICE PRESIDENT	Na	no	06/2012	Sep 5, 2012	Mar 22, 2023

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
2022	Mar 22, 2023	$96.4M	$96.4M	2	1	0	n/a	n/a
2021	Mar 24, 2022	$112M	$112M	2	1	0	n/a	n/a
2020	Mar 29, 2021	$106M	$106M	2	1	0	n/a	n/a
2019	Mar 29, 2020	$95.3M	$95.3M	2	1	0	n/a	n/a
2018	Mar 28, 2019	$91.9M	$91.9M	2	1	2	n/a	n/a
2017	Mar 29, 2018	$94.8M	$94.8M	2	1	2	n/a	n/a
2016	Mar 22, 2017	$91.7M	$91.7M	2	1	n/a	n/a	n/a
2015	Mar 28, 2016	$92.8M	$92.8M	2	1	n/a	n/a	n/a
2014	Mar 19, 2015	$96.0M	$96.0M	2	1	n/a	n/a	n/a
2013	Mar 25, 2014	$125M	$123M	2	1	n/a	n/a	n/a
2012	Apr 1, 2013	$112M	$110M	2	1	n/a	n/a	n/a
2011	Mar 29, 2012	$110M	$108M	n/a	n/a	n/a	n/a	n/a

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
2022	$96.4M	$112M	-14.1%	$95.3M	0.4%	2	2	0	0

Relationships

Controls (1)

← MCCOY, DONALD LEAVITTOwnerPRESIDENT-CHIEF COMPLIANCE OFFICER-TREASURER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (2)

← CARTER MCCOY, DEBORAHOwnerBOARD MEMBER, SECRETARY, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GUSTAFSON, TRACY ANNEOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Sep 5, 2012 to presentfactForm ADV

Registered with (2)

← DONALD LEAVITT MCCOYAdvisorregistration: previous registration
Mar 23, 1999 to Apr 6, 2023factForm ADV
← CHARLES MILFORD TARARAAdvisorregistration: previous registration
Aug 17, 2006 to Dec 13, 2018factForm ADV

Dated events

Occurred
Apr 6, 2023
Advisor changed firm
Donald Leavitt Mccoy left Planners Financial Services, Inc. for Ameriprise Financial Services, Llc (registered 2023-04-06)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a7e419f-9d2d-0949-5b2d-ba2f3860c3e3
First observed: Mar 29, 2012
Last observed: Mar 22, 2023 42 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.

PLANNERS FINANCIAL SERVICES, INC.

CRD 6751

MENDOTA HEIGHTS, MN

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:5a7e419f-9d2d-0949-5b2d-ba2f3860c3e3

Data as of Mar 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCOY, DONALD LEAVITT

PRESIDENT-CHIEF COMPLIANCE OFFICER-TREASURER

yes

03/2004

Mar 29, 2012

Mar 22, 2023

CARTER MCCOY, DEBORAH

BOARD MEMBER, SECRETARY

10/2005

Mar 29, 2012

Mar 22, 2023

GUSTAFSON, TRACY ANNE

SENIOR VICE PRESIDENT

06/2012

Sep 5, 2012

Mar 22, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 22, 2023

$96.4M

n/a

2021

Mar 24, 2022

$112M

n/a

2020

Mar 29, 2021

$106M

n/a

2019

Mar 29, 2020

$95.3M

n/a

2018

Mar 28, 2019

$91.9M

n/a

2017

Mar 29, 2018

$94.8M

n/a

2016

Mar 22, 2017

$91.7M

n/a

2015

Mar 28, 2016

$92.8M

n/a

2014

Mar 19, 2015

$96.0M

n/a

2013

Mar 25, 2014

$125M

$123M

n/a

2012

Apr 1, 2013

$112M

$110M

n/a

2011

Mar 29, 2012

$110M

$108M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$96.4M

$112M

-14.1%

$95.3M

0.4%