Cornerstone Financial Planning, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Fee options
Income tax preparation fees range from $75 to $500 depending on complexity
$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
May receive commission-based compensation for sale of securities and insurance products
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
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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