Miceli Financial Planning, Inc (Greenwood Village)


Miceli Financial Planning, Inc is a large advisory firm based in Greenwood Village. It manages $108.7 million of regulatory assets for 400 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of Colorado.

Miceli Financial Planning provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Miceli Financial Planning: assets under management

The assets under management (AUM) of Miceli Financial Planning, Inc is $108.7 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $108.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $271.75 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 87% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in exchange traded securities form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Miceli Financial Planning, Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David Barclay Heinz serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of David Barclay Heinz is individuals with 102 clients and $64.7 million of assets under management. Among the 13 most similar advisory firms, Miceli Financial Planning has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $106.7 million for 115 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Miceli Financial Planning doesn't advise any private funds.

Careers at Miceli Financial Planning, Inc

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

David Barclay Heinz has been acting as President since 1 Jan 2017. Miceli Family Trust joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Nicholas L Hatfield Vice president/secretary/shareholder 1 Dec 2013 Other 6318683
David Barclay Heinz President/shareholder/cco 1 Jan 2017 50% - 75% 4477357
Miceli Family Trust Shareholder 1 Feb 2017 Other xxx-xx-xxxx

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Kristina D. Miceli Trustee 1 Feb 2017 75% - 100% 6756239

Based in Greenwood Village

The principal office where Miceli Financial Planning, Inc performs its advisory services is located at 7400 East Orchard Road, Greenwood Village, CO 80111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 720-502-5987. The normal business hours are by appt. only on Monday - Friday. You can find more information about the New York firm at rampartwealthadvisors.com.