Confidential Planning I, LLC (Syracuse)

Name: Confidential Planning I, LLC
Address: 507 Plum St, Ste 120, Syracuse, NY, 13204
Telephone: 315-251-1101

Confidential Planning I, LLC is a related adviser based in Syracuse. It manages $29.64 million of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of New York.

Confidential Planning I provides financial planning services and 403(b) retirement plans. It prepares financial plans for less than 10 clients. On top of advisory services, the firm also engages as 403(b) retirement plan provider.

Confidential Planning I: assets under management

The assets under management (AUM) of Confidential Planning I, LLC is $29.64 million. $2.96 million of the total AUM is attributable to clients outside of the United States.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Confidential Planning I, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Confidential Planning I, LLC

The company employs 10 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Dario Joseph Vacco has been acting as President since 1 Aug 2014. Mark Richard Hansen joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Pinnacle Holding Company	Managing member	1 Nov 2007	75% - 100%	20-5319494
Llc Pinnacle Holdings	Majority owner	1 Nov 2007	50% - 75%	26-1373431
Inc. Fiscal Advisors & Marketing	Minority owner	1 Nov 2007	25% - 50%	01-0730758
Eric Douglas Krouse	Chief compliance officer	1 Nov 2007	Other	4338577
Roberta Kramer Scanlon	Chief compliance officer	1 Mar 2013	Other	834399
Dario Joseph Vacco	President	1 Aug 2014	Other	5295236
Ryan W York	Chief executive officer	1 Aug 2014	Other	5770371
Eric Krouse	President	1 Aug 2014	Other	4338577
Eric Douglas Krouse	President	1 Aug 2014	Other	4338577
Mark Richard Hansen	Chief compliance officer	1 Mar 2016	Other	2888137
Dario Joseph Vacco	Chief executive officer	1 Dec 2017	Other	5295236

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John Shehadi	Member	1 Oct 1980	50% - 75%	5549389
Mark Vislosky	Member	1 Oct 1985	25% - 50%	5549391
Inc. Fkapi	Managing member	1 Oct 2006	75% - 100%	16-1485955
Gregg Anthony Kidd	Managing member	1 Oct 2006	Other	1353130
Daniel Francis Raite	Shareholder	1 Oct 2006	Other	1244272
Unity Mutual Life Insurance Company	Minority owner	1 Oct 2006	25% - 50%	15-0475585

Based in Syracuse

The principal office where Confidential Planning I, LLC performs its advisory services is located at 507 Plum St, Ste 120, Syracuse, NY 13204, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 315-251-1101 or by fax 315-251-0042. The normal business hours are 8:30 am - 5 pm on Monday - Friday. You can find more information about the New York firm at cpcfs.com.