Secure Planning, Llc
- Regulatory AUM
- $187M
- Discretionary
- $187M
- Clients
- 529
- Avg AUM / client
- $354K
- Accounts
- 846
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of May 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 510 | $123M | 65.6% |
| High net worth individuals | 19 | $64.4M | 34.4% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward John Mallon | President/Trustee | CFP | Oct 1990 (36y) | Less than 5% |
| Lisa Anne Dugan | Executive Officer | CFP | May 2006 (20y) | Less than 5% |
| Julianne Mary Smith | Chief Compliance Officer | Jun 2006 (20y) | Less than 5% | |
| Gendron, Karen Marie | Finop | Oct 2008 (18y) | Less than 5% | |
| Justin Dale Finn | Registered representative | Jul 2012 (14y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Edward J. Mallon Revocable Trust, Edward J Mallon Trustee | Owner | Oct 1990 | A | 75% or more |
Undisclosed: 0% – 25% 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) | 05/06/2026 | 957 KB | 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
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Sei Investments Distribution Co. $162M (86% of AUM) May 2026
- Charles Schwab & Co. $25.4M (14% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 06, 2026.
View current Form ADV (SEC/IAPD) ↗