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WealthPlan Investment Management, LLC — 13F Holdings & Portfolio

CIK 1929986 · latest 13F-HR filed 2026-10-15

Backtest portfolio

WealthPlan Investment Management, LLC manages $2.07B in 13F-reported U.S. long-equity assets across 714 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (5.67%), AAPL (4.76%), NVDA (3.01%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 66 new positions and exited 29; 103 existing positions rose in reported value and 203 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$2.07B

Long-equity book

Holdings
714

Distinct positions

Period
2026-09-30

Filed 2026-10-15

Q/Q Activity
+66 / −29 / ↑103 / ↓203

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
IVV5.7% · +2%AAPL5.6% · -7%NVDA3.0% · +4%VTI2.8% · +0%MSFT2.4% · +7%IEMG2.4% · +6%EPS2.2% · +9%BFLB2.1% · -18%JUSA1.6% · newGOOGL1.6% · +6%JIRE1.6% · -9%JCPB1.5% · +22%AGG1.5% · +8%SCHF1.4% · +3%META1.4% · -5%JAVA1.3% · -9%JGRO1.3% · +5%MINT1.3% · +2%SPAB1.2% · +7%GOOG1.2% · -8%IVE1.2% · +4%IEFA1.2% · +9%BRK.B1.2% · -2%AMZN1.1% · +4%AGGY1.1% · +10%AVEM1.0% · +9%PAAA1.0% · +15%JFLX0.9% · +43%DGRO0.9% · -11%JMEE0.9% · +7%XOM0.8% · +1%HELO0.8% · +17%JNJ0.7% · -3%MTBA0.7% · +10%QHY0.7% · +26%AGGH0.7% · +6%WMT0.6% · -7%LLY0.6% · +5%AVGO0.6% · +0%CVX0.6% · -16%SCHD0.6% · -1%INTC0.6% · -1%BOXX0.6% · -1%ABBV0.6% · -6%AMAT0.6% · +14%MU0.5% · -0%CAT0.5% · +6%AMD0.5% · -11%COST0.5% · -9%BUFR0.5% · -14%CASY0.5% · -10%PLTR0.5% · -0%WTPI0.4% · +15%V0.4% · +10%JPM0.4% · -8%CLOI0.4% · -9%HEQT0.4% · -17%BBJP0.4% · newSTXG0.4% · +0%MA0.4% · -6%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 29.4%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 17, 2022.

Assets Under Management
$2.33B
Discretionary
$359.3M
Employees
18
Accounts
982
Address
8777 N GAINEY CENTER DRIVE
SUITE 201
SCOTTSDALE, AZ 85258
Phone
(480) 505-0234
Website
Name Title / Status Ownership Type
HORTON, RICK, LEWIS ControlMANAGER, CHIEF COMPLIANCE OFFICER
since Dec 2014
Less than 5%Individual
RETIREMENT PLAN ADVISORS INC. ControlMEMBER
since Dec 2014
50–75%Domestic Entity
SCHLAPPI, SCOTT, LARRY ControlMANAGER
since Dec 2014
Less than 5%Individual
WEALTH MANAGEMENT INC. ControlMEMBER
since Dec 2014
50–75%Domestic Entity
HORTON, RICK, LEWIS Control
Indirect owner via WEALTH MANAGEMENT INC.
PRESIDENT
since Apr 2009
75% or moreIndividual
SCHLAPPI, SCOTT, LARRY Control
Indirect owner via RETIREMENT PLAN ADVISORS INC
PRESIDENT
since Dec 2014
75% or moreIndividual
Ownership & leadership changes · 1 filing with changes since Apr 30, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 25, 2015 filing
  • No longer listedSCHLAPPI, BECKY, STRATTON · TREASURER · Less than 5% · control person · listed since Apr 2009
  • No longer listedSCHLAPPI, TODD, MATHEW · VP, DIRECTOR · 10–25% · control person · listed since Apr 2009
  • AddedHORTON, RICK, LEWIS · PRESIDENT · 75% or more · indirect via WEALTH MANAGEMENT INC. · control person
  • AddedRETIREMENT PLAN ADVISORS INC. · MEMBER · 50–75% · control person
  • AddedSCHLAPPI, SCOTT, LARRY · PRESIDENT · 75% or more · indirect via RETIREMENT PLAN ADVISORS INC · control person
  • AddedWEALTH MANAGEMENT INC. · MEMBER · 50–75% · control person
  • ChangedHORTON, RICK, LEWIS · title SECRETARY, DIRECTOR, CHIEF COMPLIANCE OFFICER → MANAGER, CHIEF COMPLIANCE OFFICER; ownership 25–50% → Less than 5%
  • ChangedSCHLAPPI, SCOTT, LARRY · title PRESIDENT, DIRECTOR → MANAGER; ownership 25–50% → Less than 5%
Apr 30, 2012 filing (earliest on record)
  • ListedHORTON, RICK, LEWIS · SECRETARY, DIRECTOR, CHIEF COMPLIANCE OFFICER · 25–50% · control person
  • ListedSCHLAPPI, BECKY, STRATTON · TREASURER · Less than 5% · control person
  • ListedSCHLAPPI, SCOTT, LARRY · PRESIDENT, DIRECTOR · 25–50% · control person
  • ListedSCHLAPPI, TODD, MATHEW · VP, DIRECTOR · 10–25% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

WealthPlan Investment Management, LLC Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR IVV 464287200 $117.0M 5.67% 152,835 SH
2 APPLE INC AAPL 037833100 $98.3M 4.76% 295,282 SH
3 NVIDIA CORPORATION NVDA 67066G104 $62.2M 3.01% 272,228 SH
4 VANGUARD INDEX FDS VTI 922908769 $54.8M 2.65% 146,504 SH
5 MICROSOFT CORP MSFT 594918104 $49.6M 2.40% 96,702 SH
6 ISHARES INC IEMG 46434G103 $48.2M 2.33% 594,354 SH
7 WISDOMTREE TR EPS 97717W588 $45.1M 2.18% 564,250 SH
8 EA SERIES TRUST BFLB 02072Q341 $42.8M 2.07% 771,269 SH
9 J P MORGAN EXCHANGE TRADED F JUSA 46654Q617 $33.8M 1.63% 493,060 SH
10 J P MORGAN EXCHANGE TRADED F JIRE 46641Q134 $32.5M 1.57% 395,866 SH
11 ALPHABET INC GOOGL 02079K305 $32.5M 1.57% 94,483 SH
12 J P MORGAN EXCHANGE TRADED F JCPB 46641Q670 $31.7M 1.53% 707,554 SH
13 ISHARES TR AGG 464287226 $31.3M 1.52% 331,259 SH
14 META PLATFORMS INC META 30303M102 $28.1M 1.36% 38,810 SH
15 J P MORGAN EXCHANGE TRADED F JAVA 46641Q167 $27.5M 1.33% 345,482 SH
16 SCHWAB STRATEGIC TR SCHF 808524805 $27.4M 1.33% 997,725 SH
17 J P MORGAN EXCHANGE TRADED F JGRO 46654Q609 $26.9M 1.30% 278,301 SH
18 PIMCO ETF TR MINT 72201R833 $26.8M 1.30% 266,701 SH
19 ALPHABET INC GOOG 02079K107 $25.3M 1.22% 74,260 SH
20 SPDR SERIES TRUST SPAB 78464A649 $24.8M 1.20% 1,016,698 SH
21 ISHARES TR IEFA 46432F842 $24.1M 1.17% 248,785 SH
22 ISHARES TR IVE 464287408 $23.7M 1.15% 103,808 SH
23 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $23.5M 1.14% 47,143 SH
24 AMAZON COM INC AMZN 023135106 $22.3M 1.08% 89,599 SH
25 WISDOMTREE TR AGGY 97717X511 $22.1M 1.07% 536,963 SH
26 AMERICAN CENTY ETF TR AVEM 025072604 $21.0M 1.02% 223,351 SH
27 PGIM ETF TR PAAA 69344A834 $20.6M 1.00% 401,923 SH
28 J P MORGAN EXCHANGE TRADED F JFLX 46654Q559 $18.2M 0.88% 372,462 SH
29 ISHARES TR DGRO 46434V621 $17.8M 0.86% 236,610 SH
30 J P MORGAN EXCHANGE TRADED F JMEE 46641Q118 $17.7M 0.86% 241,121 SH
31 APPLE INC AAPL 037833100 $17.3M 0.84% 51,978 SH
32 EXXONMOBIL HOLDINGS CORP XOM 30233Q108 $16.8M 0.81% 102,955 SH
33 J P MORGAN EXCHANGE TRADED F HELO 46654Q724 $15.8M 0.77% 228,935 SH
34 JOHNSON & JOHNSON JNJ 478160104 $14.1M 0.68% 53,409 SH
35 SIMPLIFY EXCHANGE TRADED FUN MTBA 82889N525 $14.0M 0.68% 299,214 SH
36 WISDOMTREE TR QHY 97717X172 $13.8M 0.67% 312,764 SH
37 SIMPLIFY EXCHANGE TRADED FUN AGGH 82889N723 $13.6M 0.66% 717,978 SH
38 WALMART INC WMT 931142103 $13.2M 0.64% 127,314 SH
39 ELI LILLY & CO LLY 532457108 $13.0M 0.63% 11,254 SH
40 BROADCOM INC AVGO 11135F101 $12.6M 0.61% 35,887 SH
41 CHEVRON CORPORATION CVX 166764100 $12.3M 0.59% 60,189 SH
42 SCHWAB STRATEGIC TR SCHD 808524797 $12.3M 0.59% 377,019 SH
43 INTEL CORP INTC 458140100 $12.2M 0.59% 101,345 SH
44 ABBVIE INC ABBV 00287Y109 $11.6M 0.56% 44,482 SH
45 APPLIED MATLS INC AMAT 038222105 $11.6M 0.56% 22,678 SH
46 EA SERIES TRUST BOXX 02072L565 $11.0M 0.53% 93,269 SH
47 MICRON TECHNOLOGY INC MU 595112103 $10.6M 0.51% 9,936 SH
48 ADVANCED MICRO DEVICES INC AMD 007903107 $10.3M 0.50% 16,794 SH
49 FIRST TR EXCHNG TRADED FD VI BUFR 33740F755 $10.0M 0.48% 265,960 SH
50 COSTCO WHOLESALE CORPORATION COST 22160K105 $10.0M 0.48% 10,934 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-15 $2.07B 714 0001929986-26-000008
2026-06-30 2026-07-28 $2.01B 642 0001929986-26-000006
2026-03-31 2026-04-29 $1.79B 515 0001929986-26-000005
2025-12-31 2026-02-05 $1.57B 438 0001929986-26-000004
Filer Information
Address
101 S 108TH AVE
3RD FLOOR
OMAHA, NE 68154
Phone
(402) 691-0200
Filing Manager
WealthPlan Investment Management, LLC
OMAHA, NE
Signatory
Kevin Zemann
Compliance Consultant