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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

WEALTHPLAN ADVISORS, LLC

CRD 150573

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:404ad754-11d2-0610-ffa1-b6ab9dd45ebf

Data as of Mar 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 10
On other graphs: 1
Observed: Apr 30, 2012 to Mar 17, 2022
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Wealthplan Advisors, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.3BItem 5.F on the latest filing (2022-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $359M
Private client RAUM: $331MderivedItem 5.D individuals plus high net worth individuals
Private client share: 14%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 10
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 982
Individual clients: 302
High net worth clients: 102
Custody, client assets: $41.5M
SEC number: 801-76650
CRD: 150573
Filings on the tape: 18
First filed: Apr 30, 2012
Latest filed: Mar 17, 2022
Organised: Limited Liability Company, Arizona

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HORTON, RICK, LEWIS	President	E	yes	04/2009	Apr 30, 2012	Mar 17, 2022
HORTON, RICK, LEWIS	MANAGER, CHIEF COMPLIANCE OFFICER	Na	yes	12/2014	Apr 30, 2012	Mar 17, 2022
RETIREMENT PLAN ADVISORS INC.	Member	D	yes	12/2014	Mar 25, 2015	Mar 17, 2022
SCHLAPPI, SCOTT, LARRY	President	E	yes	12/2014	Apr 30, 2012	Mar 17, 2022
SCHLAPPI, SCOTT, LARRY	Manager	Na	yes	12/2014	Apr 30, 2012	Mar 17, 2022
WEALTH MANAGEMENT INC.	Member	D	yes	12/2014	Mar 25, 2015	Mar 17, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
ST. LOUIS	Mo	United States	1	no
Lehi	Ut	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 16, 2022	$2.3B	$359M	18	10	3	n/a	n/a
2020	Mar 19, 2021	$1.9B	$296M	19	11	3	n/a	n/a
2019	Mar 17, 2020	$1.6B	$267M	15	8	3	n/a	n/a
2018	Mar 14, 2019	$1.6B	$244M	18	9	4	n/a	n/a
2017	Mar 23, 2018	$1.5B	$228M	21	12	4	n/a	n/a
2016	Mar 30, 2017	$1.2B	$225M	20	13	n/a	n/a	n/a
2015	Mar 9, 2016	$1.1B	$207M	17	10	n/a	n/a	n/a
2014	Mar 25, 2015	$223M	$219M	9	9	n/a	n/a	n/a
2013	Mar 7, 2014	$954M	$160M	7	7	n/a	n/a	n/a
2012	Mar 5, 2013	$834M	$154M	8	8	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$2.3B	$1.9B	21.7%	$1.6B	13.5%	18	19	3	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL RETIREMENT PARTNERS LLC	6	Feb 2, 2023	Oct 18, 2022	SCOTTSDALE, AZ	Firm absorbed	Other	85.7%
LOCKTON INVESTMENT ADVISORS, LLC	2	Jan 23, 2019	Sep 7, 2018	SCOTTSDALE, AZ	Team lift out	Other	25.0%

Relationships

Controls (4)

← HORTON, RICK, LEWISOwnerPRESIDENT, ownership code E, individual
Apr 30, 2012 to presentfactForm ADV
← SCHLAPPI, SCOTT, LARRYOwnerPRESIDENT, ownership code E, individual
Apr 30, 2012 to presentfactForm ADV
← RETIREMENT PLAN ADVISORS INC.OwnerMEMBER, ownership code D, domestic entity
Mar 25, 2015 to presentfactForm ADV
← WEALTH MANAGEMENT INC.OwnerMEMBER, ownership code D, domestic entity
Mar 25, 2015 to presentfactForm ADV

Registered with (13)

← RICK LEWIS HORTONAdvisorregistration: previous registration
Jan 13, 2011 to Feb 7, 2023factForm ADV
← SCOTT LARRY SCHLAPPIAdvisorregistration: previous registration
Jul 27, 2009 to Feb 7, 2023factForm ADV
← TODD MATHEW SCHLAPPIAdvisorregistration: previous registration
Jul 27, 2009 to Feb 7, 2023factForm ADV
← CIARA SHARP HANRATTYAdvisorregistration: previous registration
Sep 9, 2013 to Feb 7, 2023factForm ADV
← Sonya SpagnolaAdvisorregistration: previous registration
Sep 16, 2020 to Feb 7, 2023factForm ADV
← MATTHEW CHAD WILLETTAdvisorregistration: previous registration
Sep 16, 2020 to Feb 7, 2023factForm ADV
← CAMRYN DANIELLE HOLTAdvisorregistration: previous registration
Dec 9, 2015 to Feb 2, 2023factForm ADV
← ETHAN RODERICK COOPERAdvisorregistration: previous registration
Nov 27, 2015 to May 2, 2022factForm ADV
← SALLY MARIE JOHNSONAdvisorregistration: previous registration
Jun 17, 2015 to Jan 23, 2019factForm ADV
← ANNA PATRICIA DUARTEAdvisorregistration: previous registration
Aug 21, 2014 to Jan 23, 2019factForm ADV
← ANGELA MARIE MIRRIONEAdvisorregistration: previous registration
Nov 22, 2011 to Jan 28, 2016factForm ADV
← DAVID OBADIAH RICHAdvisorregistration: previous registration
Dec 11, 2013 to May 7, 2015factForm ADV
← SEAN LUNNYAdvisorregistration: previous registration
Jul 29, 2009 to Jul 3, 2013factForm ADV

Moved with (2)

→ GLOBAL RETIREMENT PARTNERS LLCRegistered adviser6 advisors, firm absorbed
Feb 2, 2023 to Oct 18, 2022factForm ADV
→ LOCKTON INVESTMENT ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Jan 23, 2019 to Sep 7, 2018factForm ADV

Dated events

Occurred
Feb 7, 2023
Advisor changed firm
Ciara Sharp Hanratty left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-06-16)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Sonya Spagnola left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-10-18)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Matthew Chad Willett left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-08-10)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Rick Lewis Horton left Wealthplan Advisors, Llc for Raymond James Financial Services Advisors, Inc (registered 2011-03-16)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Scott Larry Schlappi left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-06-09)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Todd Mathew Schlappi left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-06-09)
Form ADVobserved 4 days ago
Occurred
Feb 2, 2023
Firm absorbed
Wealthplan Advisors, LLC's advisors moved to Global Retirement Partners LLC (Scottsdale, AZ): 6 of 7 registered, within 5 days
Form ADVobserved 3 days ago
6 advisors
Occurred
Feb 2, 2023
Advisor changed firm
Camryn Danielle Holt left Wealthplan Advisors, Llc for Global Retirement Partners Llc (registered 2022-08-18)
Form ADVobserved 4 days ago
Occurred
May 2, 2022
Advisor changed firm
Ethan Roderick Cooper left Wealthplan Advisors, Llc for Mission Wealth Management, Lp (registered 2022-05-24)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2018
Regulatory AUM changed
Wealthplan Advisors, Llc reported RAUM $1.5B, up 27% from $1.2B (2017-03-30 to 2018-03-23)
Form ADVobserved 4 days ago
$320M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:404ad754-11d2-0610-ffa1-b6ab9dd45ebf
First observed: Apr 30, 2012
Last observed: Mar 17, 2022 54 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.

WEALTHPLAN ADVISORS, LLC

CRD 150573

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:404ad754-11d2-0610-ffa1-b6ab9dd45ebf

Data as of Mar 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HORTON, RICK, LEWIS

President

yes

04/2009

Apr 30, 2012

Mar 17, 2022

HORTON, RICK, LEWIS

MANAGER, CHIEF COMPLIANCE OFFICER

yes

12/2014

Apr 30, 2012

Mar 17, 2022

RETIREMENT PLAN ADVISORS INC.

Member

yes

12/2014

Mar 25, 2015

Mar 17, 2022

SCHLAPPI, SCOTT, LARRY

President

yes

12/2014

Apr 30, 2012

Mar 17, 2022

SCHLAPPI, SCOTT, LARRY

Manager

yes

12/2014

Apr 30, 2012

Mar 17, 2022

WEALTH MANAGEMENT INC.

Member

yes

12/2014

Mar 25, 2015

Mar 17, 2022

City

State

Country

Employees

Also broker-dealer

ST. LOUIS

United States

Lehi

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 16, 2022

$2.3B

$359M

n/a

2020

Mar 19, 2021

$1.9B

$296M

n/a

2019

Mar 17, 2020

$1.6B

$267M

n/a

2018

Mar 14, 2019

$1.6B

$244M

n/a

2017

Mar 23, 2018

$1.5B

$228M

n/a

2016

Mar 30, 2017

$1.2B

$225M

n/a

2015

Mar 9, 2016

$1.1B

$207M

n/a

2014

Mar 25, 2015

$223M

$219M

n/a

2013

Mar 7, 2014

$954M

$160M

n/a

2012

Mar 5, 2013

$834M

$154M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$2.3B

$1.9B

21.7%

$1.6B

13.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL RETIREMENT PARTNERS LLC

Feb 2, 2023

Oct 18, 2022

SCOTTSDALE, AZ

Firm absorbed

Other

85.7%

LOCKTON INVESTMENT ADVISORS, LLC

Jan 23, 2019

Sep 7, 2018

SCOTTSDALE, AZ

Team lift out

Other

25.0%