Shawnee Investments & Planning
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
Cincinnati OH
Advisors at this office
1
Most active in
Ohio
Also doing business as
Shawnee Investments & Planning · Shawnee Investments & Planning LLC
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:
-
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.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)