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P•••••• A••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

P•••••• A••••••• G••••

F•••• PLANNING CONCEPTS, INC., CRD 290221

COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:6cafdb58-b8b5-f8d2-1cb7-4a1b6f7244ba

Data as of Dec 14, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: Oct 4, 2017 to Dec 14, 2018
11 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $79.8MItem 5.F on the latest filing (2018-12-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $77.7M
Private client RAUM: $79.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
F••••• W••••••• D••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	02/2002	Oct 4, 2017	Dec 14, 2018

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
2017	Mar 8, 2018	$100M	$74.8M	1	1	0	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
2017	$79.8M	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (1)

← F••••• W••••••• D••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 4, 2017 to presentfactForm ADV

Registered with (3)

← W•••••• D•••• F••••Advisorregistration: previous registration
Nov 10, 2017 to Jul 18, 2024factForm ADV
← Walker KestersonAdvisorregistration: previous registration
Jun 7, 2022 to Dec 22, 2023factForm ADV
← DANIEL FRANCIS BRASCETTA

Dated events

Occurred
Jul 18, 2024
Advisor changed firm
William David Frier left P•••••• A••••••• G•••• for Maia Wealth (registered 2021-04-28)
Form ADVobserved 7 days ago
Occurred
Dec 22, 2023
Advisor changed firm
Walker Kesterson left P•••••• A••••••• G•••• for State Farm Investment Management Corp. (registered 2024-01-03)
Form ADVobserved 7 days ago
Occurred
Jan 31, 2022
Advisor changed firm
Daniel Francis Brascetta left P•••••• A••••••• G•••• for Sharkey Howes & Javer Inc (registered 2021-06-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6cafdb58-b8b5-f8d2-1cb7-4a1b6f7244ba
First observed: Oct 4, 2017
Last observed: Dec 14, 2018 94 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.