This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$195MItem 5.F on the latest filing (2026-03-20); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$195M

Private client RAUM

$171MderivedItem 5.D individuals plus high net worth individuals

Private client share

88%derivedprivate client RAUM over total RAUM

Advisors on IAPD

6

RAUM per advisor

$32.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

6

Advisory employees

6

Offices

0Schedule D 1.F, beyond the principal office

Accounts

817

Individual clients

788

SEC number

801-112596

CRD

44960

Filings on the tape

16

First filed

Mar 30, 2012

Latest filed

Mar 20, 2026

Organised

Corporation, CA

Website

planfinancial.com

• Occurred

  Feb 7, 2018
  First Form ADV filing

  Plan Financial filed its initial SEC registration (Form ADV)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0aba4540-4e9c-678d-7ba4-5921548b9c06

First observed

Mar 30, 2012

Last observed

Mar 20, 2026 6 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.