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

FINANCIAL PLANNING ANALYSTS, LLC

CRD 121338

MELVILLE, NY

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:7af51627-6d1f-69d4-bd92-671a7cdeeb1d

Data as of Apr 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Apr 5, 2021
13 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: $23.4MItem 5.F on the latest filing (2021-04-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.4M
Private client RAUM: $18.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $23.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 41
Individual clients: 5
High net worth clients: 36
SEC number: 801-61351
CRD: 121338
Filings on the tape: 13
First filed: Mar 22, 2012
Latest filed: Apr 5, 2021
Organised: Limited Liability Company, New York

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
MARK STEWART BRODY	n/a	MELVILLE, NY	5	40	1	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
BRODY, MARK, STEWART	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	03/2002	Mar 22, 2012	Apr 5, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PLANNED FINANCIAL PROGRAMS, INC.	n/a	n/a	n/a	Y	yes	n/a

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
2019	Mar 31, 2020	$26.8M	$26.8M	1	1	0	n/a	n/a
2018	Mar 23, 2019	$25.0M	$25.0M	1	1	1	n/a	n/a
2017	Mar 22, 2018	$28.7M	$28.7M	1	1	1	n/a	n/a
2016	Mar 7, 2017	$26.8M	$26.8M	1	1	n/a	n/a	n/a
2015	Mar 29, 2016	$25.9M	$25.9M	1	1	n/a	n/a	n/a
2014	Mar 16, 2015	$58.1M	$58.1M	1	1	n/a	n/a	n/a
2013	Mar 21, 2014	$57.5M	$57.5M	1	1	n/a	n/a	n/a
2012	Mar 26, 2013	$57.5M	$57.5M	1	1	n/a	n/a	n/a
2011	Mar 22, 2012	$58.6M	$58.6M	n/a	n/a	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
2019	$23.4M	$25.0M	-6.7%	$26.8M	-4.4%	1	1	0	1

Relationships

Registered with (1)

← MARK STEWART BRODYAdvisorregistration: previous registration
Mar 29, 2021 to Apr 30, 2021factForm ADV

Controls (1)

← BRODY, MARK, STEWARTOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7af51627-6d1f-69d4-bd92-671a7cdeeb1d
First observed: Mar 22, 2012
Last observed: Apr 5, 2021 66 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.

FINANCIAL PLANNING ANALYSTS, LLC

CRD 121338

MELVILLE, NY

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:7af51627-6d1f-69d4-bd92-671a7cdeeb1d

Data as of Apr 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK STEWART BRODY

n/a

MELVILLE, NY

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRODY, MARK, STEWART

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

03/2002

Mar 22, 2012

Apr 5, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PLANNED FINANCIAL PROGRAMS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 31, 2020

$26.8M

n/a

2018

Mar 23, 2019

$25.0M

n/a

2017

Mar 22, 2018

$28.7M

n/a

2016

Mar 7, 2017

$26.8M

n/a

2015

Mar 29, 2016

$25.9M

n/a

2014

Mar 16, 2015

$58.1M

n/a

2013

Mar 21, 2014

$57.5M

n/a

2012

Mar 26, 2013

$57.5M

n/a

2011

Mar 22, 2012

$58.6M

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

2019

$23.4M

$25.0M

-6.7%

$26.8M

-4.4%