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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE

SUPERIOR PLANNING, LLC, CRD 130711

SAN DIEGO, CA

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:5ac529f2-6c47-9e8d-db3b-20f237d24c00

Data as of Jun 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 6
On other graphs: 1
Observed: Sep 16, 2024 to Jun 2, 2026
16 observations

Across DFX

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

Family Officesidentity

Superior Planning Wealth Management & Family Office

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $350MItem 5.F on the latest filing (2026-06-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $345MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $26.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,059
Individual clients: 431
High net worth clients: 78
Custody, client assets: $341M
SEC number: 801-131301
CRD: 130711
Filings on the tape: 16
First filed: Sep 16, 2024
Latest filed: Jun 2, 2026
Organised: Limited Liability Company, CA
Website: superiorplanning.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ZACHARY DAVID JONES	Certified Financial Planner	SAN DIEGO, CA	2	16	2	no
Patrick Mylin Bowers	n/a	SAN DIEGO, CA	0	27	2	no

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
BAUERS, JOSEPH, SCOTT	CHIEF EXECUTIVE OFFICER AND PRINCIPAL	C	yes	09/2024	Sep 16, 2024	Oct 17, 2024
Ferrari, Susan, Jean	Principal	Na	yes	09/2024	Sep 16, 2024	Oct 17, 2024
GATES, JAMES, CHRISTIAN	Principal	B	yes	09/2024	Sep 16, 2024	Oct 17, 2024
Leighton, Matthew, Philip	CHIEF OPERATING OFFICER AND PRINCIPAL	B	yes	09/2024	Sep 16, 2024	Oct 17, 2024
PELOS, CONSTANTINE, ANDREW	CHIEF COMPLIANCE OFFICER	Na	yes	09/2024	Sep 16, 2024	Oct 17, 2024
SEDBERRY, JOHN, WESLEY	Principal	B	yes	09/2024	Sep 16, 2024	Oct 17, 2024
JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST	Trust	Na	no	09/2024	Sep 16, 2024	Oct 17, 2024
THOMAS, JAMES, FRANCIS	TTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST	Na	no	09/2024	Sep 30, 2024	Oct 17, 2024
THOMAS, M., ELIZABETH	TTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST	Na	no	09/2024	Sep 30, 2024	Oct 17, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STAR ASIA MANAGEMENT LLC	n/a	Asset manager	$4.8B	N	yes	n/a
SBK FINANCIAL, INC.	n/a	Independent wealth	$1.5B	N	yes	n/a
COMMONWEALTH RETIREMENT INVESTMENTS LLC	n/a	Independent wealth	$377M	N	yes	n/a
LAKE WHILLANS CAPITAL PARTNERS LLC	n/a	Asset manager	$312M	N	yes	n/a
BLUEPRINT LOCAL LLC	n/a	Asset manager	$253M	N	yes	n/a
DFN MANAGEMENT LLC.	n/a	Asset manager	$241M	N	yes	n/a
SCENIC MANAGEMENT LLC	n/a	Asset manager	$145M	N	yes	n/a
SOLERA CAPITAL, LLC	n/a	Former SEC adviser	$39.6M	N	yes	n/a

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; showing 2 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 6, 2026	$350M	$350M	12	8	0	n/a	n/a
2024	Apr 10, 2025	$192M	$58.6M	12	7	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	7.7%	0	0	0	3	2

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
2025	$350M	$192M	82.0%	n/a	n/a	12	12	0	0

Relationships

Registered with (14)

← Jeffrey P. LovegrenAdvisorregistration: current employment
Aug 19, 2026 to presentfactForm ADV
← KYLE A. SMITHAdvisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← Louis LangeAdvisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← Patrick Mylin BowersAdvisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← Heather C RingAdvisorregistration: current employment
Oct 2, 2025 to presentfactForm ADV
← JOHN WESLEY SEDBERRYAdvisorregistration: current employment
Apr 10, 2025 to presentfactForm ADV
← Susan J FerrariAdvisorregistration: current employment
Jan 17, 2025 to presentfactForm ADV
← Matthew Philip LeightonAdvisorregistration: current employment
Jan 15, 2025 to presentfactForm ADV
← ASHLEY MARIE GAGNEAdvisorregistration: current employment
Dec 10, 2024 to presentfactForm ADV
← Michael David GeorgeAdvisorregistration: current employment
Nov 21, 2024 to presentfactForm ADV
← JAMES CHRISTIAN GATESAdvisorregistration: current employment
Sep 20, 2024 to presentfactForm ADV
← JOSEPH SCOTT BAUERSAdvisorregistration: current employment
Sep 20, 2024 to presentfactForm ADV
← ZACHARY DAVID JONESAdvisorregistration: current employment
Sep 20, 2024 to presentfactForm ADV
← JAMES FRANCIS THOMASAdvisorregistration: previous registration
Sep 20, 2024 to Nov 21, 2025factForm ADV

Affiliated with (9)

→ WEALTHCROSSINGRegistered adviserother investment adviser, common control
factForm ADV
→ SOLERA CAPITALRegistered adviserother investment adviser, common control
factForm ADV
→ STAR ASIA MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ DFN MANAGEMENT LLC.Registered adviserother investment adviser, common control
factForm ADV
→ COMMONWEALTH RETIREMENT INVESTMENTS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LAKE WHILLANS CAPITAL PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BLUEPRINT LOCAL LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SCENIC MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← CARMEL CAPITAL PARTNERS, LLCRegistered adviserother investment adviser
factForm ADV

Controls (6)

← PELOS, CONSTANTINE, ANDREWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV
← GATES, JAMES, CHRISTIANOwnerPRINCIPAL, ownership code B, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV
← SEDBERRY, JOHN, WESLEYOwnerPRINCIPAL, ownership code B, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV
← BAUERS, JOSEPH, SCOTTOwnerCHIEF EXECUTIVE OFFICER AND PRINCIPAL, ownership code C, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV
← Leighton, Matthew, PhilipOwnerCHIEF OPERATING OFFICER AND PRINCIPAL, ownership code B, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV
← Ferrari, Susan, JeanOwnerPRINCIPAL, ownership code NA, individual
Sep 16, 2024 to Oct 17, 2024factForm ADV

Owns (3)

← THOMAS, JAMES, FRANCISOwnerTTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST, ownership code NA, individual
Sep 30, 2024 to Oct 17, 2024factForm ADV
← THOMAS, M., ELIZABETHOwnerTTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST, ownership code NA, individual
Sep 30, 2024 to Oct 17, 2024factForm ADV
← JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUSTOwnerTRUST, ownership code NA, domestic entity
Sep 16, 2024 to Oct 17, 2024factForm ADV

Dated events

Occurred
Mar 23, 2026
Regulatory AUM changed
Superior Planning Wealth Management & Family Office reported RAUM $349.6M, up 82% from $192.1M (2025-12-16 to 2026-03-23)
Form ADVobserved 5 days ago
$157M
Occurred
Nov 21, 2025
Advisor changed firm
James Francis Thomas left Superior Planning Wealth Management & Family Office for Calton & Associates, Inc. (registered 2025-01-27)
Form ADVobserved 5 days ago
Occurred
Sep 30, 2024
Control person joined
Francis James Thomas (Trustee) appeared on Schedule A of Superior Planning Wealth Management & Family Office
Form ADVobserved 5 days ago
Occurred
Sep 30, 2024
Control person joined
Elizabeth M. Thomas (Trustee) appeared on Schedule A of Superior Planning Wealth Management & Family Office
Form ADVobserved 5 days ago
Occurred
Sep 16, 2024
First Form ADV filing
Superior Planning, Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2024
Advisor changed firm
James Francis Thomas left Superior Planning Wealth Management & Family Office for Lincoln Investment (registered 2012-06-01)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ac529f2-6c47-9e8d-db3b-20f237d24c00
First observed: Sep 16, 2024
Last observed: Jun 2, 2026 3 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.

SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE

SUPERIOR PLANNING, LLC, CRD 130711

SAN DIEGO, CA

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:5ac529f2-6c47-9e8d-db3b-20f237d24c00

Data as of Jun 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ZACHARY DAVID JONES

Certified Financial Planner

SAN DIEGO, CA

Patrick Mylin Bowers

n/a

SAN DIEGO, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAUERS, JOSEPH, SCOTT

CHIEF EXECUTIVE OFFICER AND PRINCIPAL

yes

09/2024

Sep 16, 2024

Oct 17, 2024

Ferrari, Susan, Jean

Principal

yes

09/2024

Sep 16, 2024

Oct 17, 2024

GATES, JAMES, CHRISTIAN

Principal

yes

09/2024

Sep 16, 2024

Oct 17, 2024

Leighton, Matthew, Philip

CHIEF OPERATING OFFICER AND PRINCIPAL

yes

09/2024

Sep 16, 2024

Oct 17, 2024

PELOS, CONSTANTINE, ANDREW

CHIEF COMPLIANCE OFFICER

yes

09/2024

Sep 16, 2024

Oct 17, 2024

SEDBERRY, JOHN, WESLEY

Principal

yes

09/2024

Sep 16, 2024

Oct 17, 2024

JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST

Trust

09/2024

Sep 16, 2024

Oct 17, 2024

THOMAS, JAMES, FRANCIS

TTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST

09/2024

Sep 30, 2024

Oct 17, 2024

THOMAS, M., ELIZABETH

TTEE OF THE JAMES F. & M. ELIZABETH THOMAS REVOCABLE TRUST

09/2024

Sep 30, 2024

Oct 17, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STAR ASIA MANAGEMENT LLC

n/a

Asset manager

$4.8B

yes

n/a

SBK FINANCIAL, INC.

n/a

Independent wealth

$1.5B

yes

n/a

COMMONWEALTH RETIREMENT INVESTMENTS LLC

n/a

Independent wealth

$377M

yes

n/a

LAKE WHILLANS CAPITAL PARTNERS LLC

n/a

Asset manager

$312M

yes

n/a

BLUEPRINT LOCAL LLC

n/a

Asset manager

$253M

yes

n/a

DFN MANAGEMENT LLC.

n/a

Asset manager

$241M

yes

n/a

SCENIC MANAGEMENT LLC

n/a

Asset manager

$145M

yes

n/a

SOLERA CAPITAL, LLC

n/a

Former SEC adviser

$39.6M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 6, 2026

$350M

n/a

2024

Apr 10, 2025

$192M

$58.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

7.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$350M

$192M

82.0%

n/a