CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC of NEWPORT BEACH, CA is an SEC-registered investment adviser (CRD 126777). Regulatory assets under management: $37.5B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Jonathan Tyler Upham | PRESIDENT | — |
| Karen Fischer Prange | CHIEF COMPLIANCE OFFICER | — |
| Peter Alex Mallouk | TRUSTEE | — |
| Dagmara Katarzyna Frankowska | CHIEF COMPLIANCE OFFICER | — |
| Natasha Irina Pfeiffer | CHIEF LEGAL OFFICER | — |
| John Turnbull Longley | CHIEF EXECUTIVE OFFICER | — |
| Christina Marie Walsh | CHIEF FINANCIAL OFFICER | — |
| LONG RANDALL CRAIG | MANAGING PRINCIPAL; MEMBER | — |
| HAMMONDS MATTHEW CRAIG | CHIEF COMPLIANCE OFFICER | — |
| WALSH ANGELA MARIE | CHIEF FINANCIAL OFFICER | — |
| HALVERSON CHANDRA ELLEN | HEAD OF WEALTH MANAGEMENT OPERATIONS | — |
| BECKER BROCK MARTIN | CHIEF COMPLIANCE OFFICER | — |
| UPHAM JONATHAN TYLER | MEMBER; PRESIDENT; PRINCIPAL | — |
| Bernal Jorge A | CHIEF OPERATIONS OFFICER | — |
| BYUN MICHAEL T | CHIEF COMPLIANCE OFFICER | — |
| MERID SHARINA MARIA | CHIEF COMPLIANCE OFFICER | — |
| PFEIFFER NATASHA IRINA | CHIEF LEGAL OFFICER | — |
| FRANKOWSKA DAGMARA K | CHIEF COMPLIANCE OFFICER | — |
| LONGLEY JOHN TURNBULL | CHIEF EXECUTIVE OFFICER | — |
| NOTERMANN ANTHONY LOUIS | CHIEF FINANCIAL OFFICER | — |
| FRANKOWSKA DAGMARA KATARZYNA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-06-24 | civil | PLAINTIFFS ALLEGE SAGEVIEW BREACHED ITS FIDUCIARY DUTY IN PROVIDING INVESTMENT ADVICE RELATING TO TARGET DATE FUNDS THAT WERE SELECTED FOR THE EVERGY 401K PLAN | Pending | — |
| 2018-09-18 | regulatory | ON SEPTEMBER 18, 2018, THE SEC INSTITUTED A SETTLED ORDER AGAINST CREATIVE PLANNING, INC. ("CPI") AND PETER A. MALLOUK, THE FIRM'S PRESIDENT AND MAJORITY OWNER. CREATIVE PLANNING DISTRIBUTED HUNDREDS OF RADIO ADVERTISEMENTS THAT CONTAINED PROHIBITED CLIENT TESTIMONIALS. THE RADIO STATION DJ HAD BECO… | Final | $200K |
| 2010-02-01 | civil | BREACH OF FIDUCIARY DUTY AND FRAUD. | Final | — |
| 2009-10-06 | regulatory | REGISTRATION ERROR. ED WAGNER, AN ADVISOR LOCATED IN NEVADA, WAS NOT REGISTERED AS AN INVESTMENT ADVISOR OF THE FIRM IN NEVADA. SAGEVIEW ADVISORY GROUP WAS REGISTERED IN NEVADA. MR. WAGNER DID NOT HAVE ANY CLIENTS IN NEVADA. | Final | $500 |