Aurora Financial Planning & Investment Management LLC
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About
Aurora Financial Planning & Investment Management LLC provides discretionary investment management and financial planning services for a mix of institutional and individual clients. The firm’s ADV describes ongoing portfolio management as well as comprehensive and project-based financial planning for individuals age 50+, single women, married couples, high‑net‑worth individuals and small business owners, and it also advises on employer retirement plans.
The firm emphasizes asset-allocation-driven portfolios using index mutual funds and ETFs where appropriate, while also applying fundamental, technical and cyclical analysis when called for. Aurora employs an institutional‑grade, forward‑looking risk analytics tool to monitor portfolios, and it implements strategies through discretionary authority and model portfolios available via its custodian’s Model Marketplace.
Compared with many investment managers that primarily handle pooled or institutional assets, Aurora is notable for offering individualized planning services with ongoing coaching and a behavioral‑finance element, and for billing some planning work on a project/hourly basis or via monthly retainers — arrangements that are less common among peers. It also routinely uses third‑party model portfolios and tax‑management tools provided through its custodian, and discloses that it does not trade derivatives, which shapes how it implements client portfolios.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fees for financial planning starting at $2,625; $500 setup fee for comprehensive financial planning.
$500,000 - $1,000,000: 1.00% $1,000,001 - $4,000,000: 0.75% $4,000,001 - $8,000,000: 0.40% $8,000,000+: 0.30%
Project-based financial planning charged at $375 per hour (minimum 7 hours for $2,625 minimum fee)
Account minimum: $500,000 (negotiable, may be waived in certain circumstances) Minimum fee: $2,500 minimum annual account management fee (nonnegotiable) Fee-only: Financial planning fees starting at $2,625 fixed fee (minimum 7 hours @ $375/hour), and comprehensive financial planning monthly retainer fees ranging from $99 to $850 per month plus $500 setup fee.
Main office
5635 N Scottsdale Road, Suite 170
Scottsdale AZ 85250
Advisors at this office
1
Most active in
Arizona
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:
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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
Quick links
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