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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0

Regulatory AUM

$228MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$3.8M

Private client RAUM

$223MderivedItem 5.D individuals plus high net worth individuals

Private client share

98%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$114Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

3

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

316

Individual clients

66

High net worth clients

66

SEC number

801-112991

CRD

106831

Filings on the tape

21

First filed

Nov 14, 2011

Latest filed

Mar 31, 2026

Organised

Corporation, GA

• Occurred

  Sep 27, 2019
  Control person left

  Douglas Norman Shirley (Chief Compliance Officer/President/) no longer on Schedule A of Commonwealth Financial Planners Inc (listed 2019-07-11, absent 2019-09-27)

  Form ADVobserved 4 days ago
• Occurred

  Mar 28, 2018
  First Form ADV filing

  Commonwealth Financial Planners Inc filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:14a8b313-e2c4-6425-9ed0-e29f610dd483

First observed

Nov 14, 2011

Last observed

Mar 31, 2026 5 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.