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Cornerstone Financial Planning, Inc.

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Total assets under management

$42,830,639

Total clients

101

11% high-net worth

Total advisors

1

of 3 employees

Firm size

Supported

1-3 advisors or $200M+ in AUM

Average clients per advisor

101

Average account size

$424,066

About

Cornerstone Financial Planning, Inc. provides financial planning and discretionary portfolio management to individual and high‑net‑worth clients and their related trusts and estates. Offerings include ongoing investment management, comprehensive financial planning (including income tax preparation), and implementation of insurance and annuity products.

The firm builds portfolios from asset‑allocation models grounded in modern portfolio theory, tailoring recommendations to each client’s objectives, time horizon, and risk tolerance and using mutual funds, ETFs and third‑party managers; clients receive regular performance reporting and monitoring. It also implements income‑generation and risk‑management tactics — for example, covered‑call strategies and hedging or monetization of concentrated stock positions — and may receive commission compensation for insurance or annuity transactions.

Noteworthy distinctions are the firm’s combination of fee‑based advisory services with commissionable insurance and annuity sales and its in‑house tax‑preparation offering, both of which are less common among peers. The firm is also operating under a regulatory consent order that imposes restrictions on sales of illiquid and high‑yield products, requires concentration limits and more frequent regulatory examinations, and required restitution related to certain annuity fees — facts prospective clients should consider.

Client services

Financial planning Portfolio management

Expertise

Options & derivatives strategies Concentrated stock management

Fee options

Fixed

Income tax preparation fees range from $75 to $500 depending on complexity

Percentage

$0 - $500,000: 1.00% $500,001 - $1,500,000: 0.90% $1,500,001 - $5,000,000: 0.80% Over $5,000,000+: Negotiable

Commissions

May receive commission-based compensation for sale of securities and insurance products

Other

Fee-only: Asset-based fees as described; Fixed fee for income tax preparation $75 to $500

Main office location

Cornerstone Financial Planning, Inc.

5601 West Grande Market Drive, Suite E

Appleton WI 54913, United States

Number of offices

1

Most active in

Illinois · North Carolina · Wisconsin

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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