M & I Financial Planning Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$18,623,311
Total clients
56
0% high-net worth
Total advisors
2
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
28
Average account size
$332,559
About
M&I Financial Planning Services provides investment management and financial planning primarily for individual investors and family trusts, working with taxable, Roth and tax-deferred accounts. The firm serves a relatively small client base (about 56 household relationships) through two principal advisors and offers discretionary portfolio management and broader planning that considers clients’ real estate, insurance and tax situations.
The firm takes a conservative, long-term approach that combines technical analysis of company financials with cyclical sector analysis, and typically favors exchange-listed individual securities and ETFs over mutual funds. Advisors discuss recommendations with clients whenever possible but operate under discretionary management agreements for all client accounts, using Charles Schwab’s institutional platform for execution and custody.
Compared with many peers, M&I’s client mix does not include high-net-worth households and the firm explicitly notes no account minimums, signaling a focus on non‑HNW individual investors. The two principals maintain a compact practice—one partner allocates substantial time to providing accounting services to a non‑profit—no other employees are listed, and the firm says it does not accept proxy‑voting authority or participate in outside advisor referral arrangements.
Client services
Expertise
Fee options
1.25% annually
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")