Balanced Plan Financial Investment Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Balanced Plan Financial Investment Advisors, Inc. is a state-registered advisory firm managing roughly $48.8 million for about 149 clients, primarily individuals (including high‑net‑worth clients) as well as small businesses, trusts, and estates. The firm provides discretionary and non‑discretionary asset management, financial planning and consulting, and acts as a solicitor and selector of sub‑advisors or third‑party managers.
Investment programs are tailored to client objectives, time horizons and risk tolerances and draw on a mix of fundamental, technical, quantitative and modern portfolio theory methods, with periodic reviews, rebalancing and tax‑aware considerations. The firm may delegate management to sub‑advisors or refer clients to third‑party managers and discloses monitoring procedures for those relationships.
Distinctive features disclosed in the brochure include affiliations with a broker‑dealer and insurance activities and the payment/receipt of solicitor fees for referrals to third‑party managers, which the firm identifies as potential conflicts and addresses through disclosure and supervision. The firm also employs derivative strategies (including options, covered calls, futures and swap instruments) and allows sub‑advisor delegation — practices noted in the brochure as less common among similarly sized supported firms.
Client services
Expertise
Fee options
$0 - $249,999.99: 1.80% $250,000 - $499,999.99: 1.75% $500,000 - $999,999.99: 1.70% $1,000,000 - $2,999,999.99: 1.60% $3,000,000+: 1.50%
$350 per hour
Main office
See officeHermitage TN
Advisors at this office
2
Most active in
California · Tennessee · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is 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.
Is not active or affiliated with:
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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
Advisors at this firm
James S
Series 63, Series 65
San Fransico, CA
Balanced Plan Financial Investment Advisors, Inc.
James Sanford is a financial advisor at Balanced Plan Financial Investment Advisors, Inc. with four years of industry experience. He holds Series 63 and Series 65 licenses and has worked at World Equity Group, Inc. and CSP Financial Group LLC. In addition to his advisory roles, he has worked as an independent insurance agent since 2018 and operated a home owner consulting business as a licensed general contractor from 2012 to 2021. Balanced Plan Financial Investment Advisors, Inc. manages approximately $48.8 million for around 149 clients, including individuals, small businesses, trusts, and estates. The firm offers tailored investment programs based on client objectives and risk tolerances, utilizing a combination of fundamental, technical, quantitative, and modern portfolio theory approaches, with some services delegated to sub-advisors or third-party managers.
Benjamin V
Series 63, Series 65
Hermitage, TN
Balanced Plan Financial Investment Advisors, Inc.
Benjamin Vondrak is a financial advisor at Balanced Plan Financial Investment Advisors, Inc. with 11 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at several firms, including World Equity Group, Inc. and Integrated Financial Partners and Symbiotic Insurance. He is also involved in the insurance business as a part owner of Symbiotic Insurance Solutions, Inc. Balanced Plan Financial Investment Advisors, Inc. manages approximately $48.8 million primarily for individuals, high-net-worth clients, small businesses, trusts, and estates. The firm offers tailored investment programs based on client objectives and risk tolerances, utilizing a combination of fundamental, technical, quantitative, and modern portfolio theory approaches, and employs derivative strategies and sub-advisor delegation.
Bryan N
Series 63, Series 66
Hermitage, TN
Balanced Plan Financial Investment Advisors, Inc.
Bryan Nelson is a financial advisor with Balanced Plan Financial Investment Advisors, Inc. He holds Series 63 and Series 66 licenses and has 19 years of industry experience. His prior roles include positions at World Equity Group, VOYA Financial Advisors, and Edward Jones. Nelson also works as an independent insurance agent and serves as Head of Product Research and Sales Trainer at Symbiotic Insurance Solutions. Balanced Plan Financial Investment Advisors, Inc. is a state-registered advisory firm managing approximately $48.8 million for around 149 clients, including individuals, high-net-worth clients, small businesses, trusts, and estates. The firm offers tailored investment programs using a combination of fundamental, technical, and quantitative methods, with the option to delegate management to sub-advisors or third-party managers.
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