Superior Planning, Llc
- Regulatory AUM
- $350M
- Discretionary
- $350M
- Clients
- 516
- Avg AUM / client
- $677K
- Accounts
- 1,059
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of Jun 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 431 | $129M | 36.9% |
| High net worth individuals | 78 | $216M | 61.7% |
| Pension and profit sharing plans | 6 | $4.4M | 1.25% |
| Corporations and other businesses | 1 | $425K | 0.12% |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Christian Gates | Principal | Sep 2024 (2y) | 10% – 25% | |
| James Francis Thomas | Ttee Of The James F. & M. Elizabeth Thomas Revocable Trust | CFP Chartered Financial Consultant | Sep 2024 (2y) | Less than 5% |
| John Wesley Sedberry | Principal | Sep 2024 (2y) | 10% – 25% | |
| Joseph Scott Bauers | Chief Executive Officer And Principal | Sep 2024 (2y) | 25% – 50% | |
| Matthew Philip Leighton | Chief Operating Officer And Principal | Sep 2024 (2y) | 10% – 25% | |
| Pelos, Constantine, Andrew | Chief Compliance Officer | Sep 2024 (2y) | Less than 5% | |
| Susan J Ferrari | Principal | Sep 2024 (2y) | Less than 5% | |
| Thomas, M., Elizabeth | Ttee Of The James F. & M. Elizabeth Thomas Revocable Trust | Sep 2024 (2y) | Less than 5% | |
| Zachary David Jones | Registered representative | CFP | Sep 2024 (2y) | |
| Michael David George | Registered representative | CFP | Nov 2024 (2y) | |
| Ashley Marie Gagne | Registered representative | CFP | Dec 2024 (2y) | |
| Heather C Ring | Registered representative | CFP | Oct 2025 (1y) | |
| Kyle A. Smith | Registered representative | Apr 2026 (0y) | ||
| Louis Lange | Registered representative | Apr 2026 (0y) | ||
| Patrick Mylin Bowers | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| James F. & M. Elizabeth Thomas Revocable Trust | Trust | Sep 2024 | A | Less than 5% |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/02/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • FINANCIAL PLANNING FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Raymond James $147M (42% of AUM) Jun 2026
- Charles Schwab & Co. $137M (39% of AUM) Jun 2026
- National Financial Services (Fidelity) $57.0M (16% of AUM) Jun 2026
- Matrix Trust Company $8.5M (2% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 02, 2026.
View current Form ADV (SEC/IAPD) ↗