Qualified Plan Advisory, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$87,720,414
This total excludes 10 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
20
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
20
TypicalAverage account size
$4,386,021
About
The firm provides investment advisory and pension consulting services to employer‑sponsored qualified retirement plans and individual investors. Its brochure states it manages approximately $87.7 million in qualified plan assets for 10 qualified retirement plans and about $8.9 million in qualified and non‑qualified assets for 20 individuals.
It offers both discretionary and non‑discretionary portfolio management and delivers written financial planning; in the retirement plan context the firm emphasizes advisory, non‑discretionary relationships in which plan sponsors approve and implement transactions. For plan clients the firm prepares investment policy statements, investment selection due diligence reports, quarterly monitoring reports and annual plan reviews, and constructs participant model portfolios using Morningstar tools and modern portfolio theory techniques (efficient frontier, resampling, Monte Carlo).
What is distinctive for a small independent adviser is the firm’s substantive focus on pension and profit‑sharing plan consulting and on participant‑facing services, including one‑on‑one enrollment meetings, ongoing face‑to‑face participant meetings, and email communications. The brochure also emphasizes that the firm does not act as custodian and that clients retain asset control, underscoring a primarily advisory, non‑custodial role for retirement plan assets.
Client services
Portfolio management
Pension consulting
Expertise
General retirement planning
Occupation focus
Retired
Fee options
Annual fixed fees for pension consulting services ranging from $2,000 to $25,000 depending on plan size and participant count, negotiable.
$0 - $1,000,000: 0.75% over $1,000,000+: 0.50%
Account minimum: No explicit minimum stated for portfolio management services; however, financial planning services have no minimum. The firm may combine related accounts to meet stated minimums. Fee-only: Fixed fees for financial planning services ranging from $1,000 to $25,000, negotiable.
Main office location
Qualified Plan Advisory, LLC
901 W. Civic Center Dr, Suite 200
Santa Ana CA 92703, United States
Number of offices
1
Most active in
Qualified Plan Advisory, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
-
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.
-
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
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