SCHMIDT, JACOB AARON of FORT WAYNE, IN is an SEC-registered investment adviser (CRD 121034). Regulatory assets under management: $212.6M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Jacob Aaron Schmidt | OWNER/CHIEF COMPLIANCE OFFICER | — |
| SCHMIDT JACOB AARON | OWNER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-02-17 | regulatory | FINANCIAL PLANNING SERVICES WAS LATE TO FILE ITS ANNUAL ANNUAL UPDATES TO FORM ADV BETWEEN JANUARY 1, 2018 AND MARCH 31, 2018 WHICH IS NINETY (90) DAYS FOLLOWING THE FIRM'S FISCAL YEAR END, IN VIOLATION OF 710 IAC4-9-16(A)(2017). | Final | $2K |