DFX Intelligence

Data Factory

RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

PLANMEMBER ASSET MANAGEMENT CORPORATION

CRD 289591

CARPINTERIA, 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:6a1634a5-a792-5366-ee67-d341e110b1ef

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 0
Observed: Aug 15, 2017 to Mar 31, 2026
14 observations

Across DFX

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.

Facts

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

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0
Regulatory AUM: $0Item 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: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-111678
CRD: 289591
Filings on the tape: 14
First filed: Aug 15, 2017
Latest filed: Mar 31, 2026
Organised: Corporation, CA

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
EQUITABLE DISTRIBUTION HOLDING CORPORATION	Shareholder	C	yes	02/2013	Mar 31, 2021	Mar 29, 2024
EQUITABLE FINANCIAL SERVICES, LLC	Shareholder	E	yes	06/2002	Mar 31, 2021	Mar 29, 2024
EQUITABLE HOLDINGS INC.	Shareholder	E	yes	11/2004	Mar 31, 2021	Mar 29, 2024
HANSON, STEVEN, R	CHIEF FINANCIAL OFFICER / FINOPS	Na	yes	01/2024	Mar 29, 2024	Mar 29, 2024
JANEWAY, TERRALL, JOSEPH	EVP/CHIEF OPERATING OFFICER	Na	yes	06/2022	Aug 15, 2017	Mar 29, 2024
PLANMEMBER FINANCIAL CORPORATION	Owner	E	yes	08/2017	Aug 15, 2017	Mar 29, 2024
ZIEHL, JON, MICHAEL	President	E	yes	09/1984	Aug 15, 2017	Mar 29, 2024
ZIEHL, JON, MICHAEL	President	Na	yes	08/2017	Aug 15, 2017	Mar 29, 2024
BOWMAN, BYRON, FRANCIS	CHIEF LEGAL OFFICER AND SECRETARY	Na	no	08/2017	Aug 15, 2017	Mar 29, 2024
HALEY, SEAN, PATRICK	CHIEF COMPLIANCE OFFICER	Na	no	03/2019	Mar 27, 2019	Mar 29, 2024
NUGENT, THOMAS, EUGENE	CHIEF INVESTMENT OFFICER	Na	no	08/2017	Aug 15, 2017	Mar 29, 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
PLANMEMBER SECURITIES CORPORATION	n/a	Independent wealth	$10B	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 31, 2026	$0	$0	8	3	n/a	n/a
2024	Mar 31, 2025	$0	$0	8	3	n/a	n/a
2023	Mar 29, 2024	n/a	n/a	8	3	n/a	n/a
2022	Mar 31, 2023	$0	$0	8	3	n/a	n/a
2021	Mar 31, 2022	n/a	n/a	8	3	n/a	n/a
2020	May 3, 2021	n/a	n/a	8	3	n/a	n/a
2019	May 14, 2020	n/a	n/a	8	3	n/a	n/a
2018	Mar 27, 2019	n/a	n/a	8	3	n/a	n/a
2017	Mar 30, 2018	n/a	n/a	8	3	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
2025	$0	$0	n/a	$0	n/a	8	8	0	0

Relationships

Affiliated with (9)

← EQUITABLE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← PLANMEMBER SECURITIES CORPORATIONRegistered adviserother investment adviser, control, common control
factForm ADV
← BERNSTEIN INSTITUTIONAL SERVICES LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← AB CARVAL INVESTORS, LPRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← CARVAL CLO MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← EQUITABLE INVESTMENT MANAGEMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
← EQUITABLE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← PENN INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Owns (3)

← NUGENT, THOMAS, EUGENEOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 15, 2017 to Mar 29, 2024factForm ADV
← BOWMAN, BYRON, FRANCISOwnerCHIEF LEGAL OFFICER AND SECRETARY, ownership code NA, individual
Aug 15, 2017 to Mar 29, 2024factForm ADV
← HALEY, SEAN, PATRICKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2019 to Mar 29, 2024factForm ADV

Controls (7)

← JANEWAY, TERRALL, JOSEPHOwnerEVP/CHIEF OPERATING OFFICER, ownership code NA, individual
Aug 15, 2017 to Mar 29, 2024factForm ADV
← HANSON, STEVEN, ROwnerCHIEF FINANCIAL OFFICER / FINOPS, ownership code NA, individual
Mar 29, 2024 to Mar 29, 2024factForm ADV
← ZIEHL, JON, MICHAELOwnerPRESIDENT, ownership code E, individual
Aug 15, 2017 to Mar 29, 2024factForm ADV
← EQUITABLE DISTRIBUTION HOLDING CORPORATIONOwnerSHAREHOLDER, ownership code C, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← EQUITABLE FINANCIAL SERVICES, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← EQUITABLE HOLDINGS INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← PLANMEMBER FINANCIAL CORPORATIONOwnerOWNER, ownership code E, domestic entity
Aug 15, 2017 to Mar 29, 2024factForm ADV

Dated events

Occurred
Mar 29, 2024
Control person joined
R Steven Hanson (Chief Financial Officer / Finops) appeared on Schedule A of Planmember Asset Management Corporation
Form ADVobserved 4 days ago
Occurred
Aug 15, 2017
First Form ADV filing
Planmember Asset Management Corporation filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a1634a5-a792-5366-ee67-d341e110b1ef
First observed: Aug 15, 2017
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.

PLANMEMBER ASSET MANAGEMENT CORPORATION

CRD 289591

CARPINTERIA, 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:6a1634a5-a792-5366-ee67-d341e110b1ef

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EQUITABLE DISTRIBUTION HOLDING CORPORATION

Shareholder

yes

02/2013

Mar 31, 2021

Mar 29, 2024

EQUITABLE FINANCIAL SERVICES, LLC

Shareholder

yes

06/2002

Mar 31, 2021

Mar 29, 2024

EQUITABLE HOLDINGS INC.

Shareholder

yes

11/2004

Mar 31, 2021

Mar 29, 2024

HANSON, STEVEN, R

CHIEF FINANCIAL OFFICER / FINOPS

yes

01/2024

Mar 29, 2024

JANEWAY, TERRALL, JOSEPH

EVP/CHIEF OPERATING OFFICER

yes

06/2022

Aug 15, 2017

Mar 29, 2024

PLANMEMBER FINANCIAL CORPORATION

Owner

yes

08/2017

Aug 15, 2017

Mar 29, 2024

ZIEHL, JON, MICHAEL

President

yes

09/1984

Aug 15, 2017

Mar 29, 2024

ZIEHL, JON, MICHAEL

President

yes

08/2017

Aug 15, 2017

Mar 29, 2024

BOWMAN, BYRON, FRANCIS

CHIEF LEGAL OFFICER AND SECRETARY

08/2017

Aug 15, 2017

Mar 29, 2024

HALEY, SEAN, PATRICK

CHIEF COMPLIANCE OFFICER

03/2019

Mar 27, 2019

Mar 29, 2024

NUGENT, THOMAS, EUGENE

CHIEF INVESTMENT OFFICER

08/2017

Aug 15, 2017

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PLANMEMBER SECURITIES CORPORATION

n/a

Independent wealth

$10B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

n/a

2024

Mar 31, 2025

n/a

2023

Mar 29, 2024

n/a

2022

Mar 31, 2023

n/a

2021

Mar 31, 2022

n/a

2020

May 3, 2021

n/a

2019

May 14, 2020

n/a

2018

Mar 27, 2019

n/a

2017

Mar 30, 2018

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a