Shawnee Investments & Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,231,855
Clients
10
10% 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
10
LowAverage account size
$123,186
About
Shawnee Investments & Planning is a small, independent advisory firm that serves individual clients, a limited number of retirement plan sponsors, foundations, charities and small businesses. The firm provides comprehensive financial planning, ongoing portfolio management, educational workshops, and guidance to retirement plan sponsors.
Its investment approach is built on Modern Portfolio Theory with a core‑and‑satellite construction; actively managed funds are evaluated against ETF peers using risk‑adjusted and tax‑efficiency metrics, while individual equities are selected through bottom‑up fundamental analysis. Portfolios may include covered‑call strategies and, when suitable for a client’s risk profile, higher‑risk holdings, and are managed on either a discretionary or nondiscretionary basis.
What distinguishes the firm from many independent solo advisors is the regular, complimentary educational workshops and its pension/retirement‑plan consulting services (including roles described under ERISA §3(21) and §3(38)), offerings that are uncommon among peers. The practice’s very small scale—managing roughly $1.23 million for about ten clients—means the firm maintains a narrow client base and a compact service model compared with larger independent advisers.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Expertise
General retirement planning
Income planning
Cash flow / budgeting
Debt management
Charitable giving & philanthropy
Fee options
1.00% annually for individual accounts; 0.75% annually for employer-sponsored retirement plans (except SEP)
$150 per hour for financial planning services
Main office location
Shawnee Investments & Planning
Cincinnati OH, United States
Number of offices
1
Most active in
Shawnee Investments & Planning has reported serving >5 clients in these states in the last 12 months.
Ohio
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:
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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.
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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
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