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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

THE PLANNERS NETWORK, INC.

CRD 108355

TEMECULA, 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:b0087c9d-aa3c-031c-89b6-430e0e2c0254

Data as of Sep 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Sep 8, 2017
26 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: $109MItem 5.F on the latest filing (2017-09-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $108M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 4
Accounts: 500
SEC number: 801-60247
CRD: 108355
Filings on the tape: 26
First filed: Feb 24, 2012
Latest filed: Sep 8, 2017
Organised: Corporation, California

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
HANSEN, MARK, DOUGLAS	Director	Na	yes	08/2017	Aug 28, 2017	Sep 8, 2017
HULL, MARK, HAROLD	Director	Na	yes	08/2016	Sep 26, 2016	Sep 8, 2017
LOCKLIN, KAREN, BJORKLUND	SECRETARY, COO AND CCO	Na	yes	10/2000	Feb 24, 2012	Sep 8, 2017
ROSE, DENNIS, FRANK	Director	Na	yes	08/2017	Aug 28, 2017	Sep 8, 2017
STURM, RICHARD, PAUL	Director	Na	yes	08/2017	Aug 28, 2017	Sep 8, 2017
SUTHERLAND, MICHAEL, DAVID	Director	Na	yes	08/2016	Sep 26, 2016	Sep 8, 2017
VANDERZWAAG, DAVID, JOHN	Director	Na	yes	08/2017	Feb 24, 2012	Sep 8, 2017
WILLIAMS, DAVID, NATHAN	Director	Na	yes	07/2013	Feb 24, 2012	Sep 8, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
ANAHEIM HILLS	CA	United States	n/a	no
MANHATTAN BEACH	CA	United States	n/a	no
SAN DIEGO	CA	United States	n/a	no
SAN JOSE	CA	United States	n/a	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
2017	Sep 8, 2017	$109M	$108M	11	4	n/a	n/a	n/a
2016	Sep 26, 2016	$121M	$98.9M	10	5	n/a	n/a	n/a
2015	Aug 4, 2015	$234M	$192M	15	11	n/a	n/a	n/a
2014	Aug 5, 2014	$151M	$111M	15	11	n/a	n/a	n/a
2013	Sep 25, 2013	$234M	$184M	14	10	n/a	n/a	n/a
2012	Sep 17, 2012	$182M	$143M	n/a	n/a	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
2017	$109M	$121M	-9.3%	$151M	-10.1%	11	10	n/a	n/a

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
LPL FINANCIAL LLC	2	Dec 31, 2017	Nov 29, 2017	MANHATTAN BEACH, CA	Team lift out	Other	50.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	3	Nov 29, 2017	Jul 6, 2016	LOS ANGELES, CA	Team lift out	Other	0.7%
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	3	Oct 19, 2017	May 24, 2004	IRVINE, CA	Team lift out	Other	0.5%

Relationships

Controls (8)

← HULL, MARK, HAROLDOwnerDIRECTOR, ownership code NA, individual
Sep 26, 2016 to presentfactForm ADV
← ROSE, DENNIS, FRANKOwnerDIRECTOR, ownership code NA, individual
Aug 28, 2017 to presentfactForm ADV
← LOCKLIN, KAREN, BJORKLUNDOwnerSECRETARY, COO AND CCO, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← VANDERZWAAG, DAVID, JOHNOwnerDIRECTOR, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← WILLIAMS, DAVID, NATHANOwnerDIRECTOR, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← STURM, RICHARD, PAULOwnerDIRECTOR, ownership code NA, individual
Aug 28, 2017 to presentfactForm ADV
← SUTHERLAND, MICHAEL, DAVIDOwnerDIRECTOR, ownership code NA, individual
Sep 26, 2016 to presentfactForm ADV
← HANSEN, MARK, DOUGLASOwnerDIRECTOR, ownership code NA, individual
Aug 28, 2017 to presentfactForm ADV

Registered with (22)

← MARK HAROLD HULLAdvisorregistration: previous registration
Mar 3, 2014 to Dec 31, 2017factForm ADV
← KRISTINE KAY KEEGANAdvisorregistration: previous registration
Mar 26, 2014 to Dec 31, 2017factForm ADV
← PAUL JEREMIAH TOOHEYAdvisorregistration: previous registration
May 29, 2001 to Dec 31, 2017factForm ADV
← ROBERT GALINDOAdvisorregistration: previous registration
Jul 6, 2016 to Dec 31, 2017factForm ADV
← DIETER ERWIN THUROWAdvisorregistration: previous registration
Jan 12, 2007 to Mar 20, 2017factForm ADV
← CHARLENE MARIE BURKHARDTAdvisorregistration: previous registration
Oct 3, 2007 to Jul 1, 2016factForm ADV
← NADINE MARIE LORD-DIVANAdvisorregistration: previous registration
Aug 20, 2012 to Jun 29, 2016factForm ADV
← RANDALL JOSEPH MONTOYAAdvisorregistration: previous registration
Jan 2, 2004 to Dec 13, 2013factForm ADV
← THOMAS JOHN WOLFAdvisorregistration: previous registration
May 29, 2001 to Oct 30, 2013factForm ADV
← JON ALAN KERBYAdvisorregistration: previous registration
Feb 21, 2013 to Aug 22, 2013factForm ADV
← JAMES AUDY BRAZIELAdvisorregistration: previous registration
Jan 3, 2002 to Nov 22, 2010factForm ADV
← JERRY WILLIAM WILKAdvisorregistration: previous registration
May 24, 2004 to Nov 22, 2010factForm ADV
← DOUGLAS WILFORD COLEAdvisorregistration: previous registration
Jun 18, 2009 to Sep 14, 2010factForm ADV
← ADAM CHARLES CARLINIAdvisorregistration: previous registration
Sep 2, 2004 to Sep 14, 2010factForm ADV
← RICHARD MICHAEL GROFFAdvisorregistration: previous registration
Sep 2, 2004 to Sep 14, 2010factForm ADV
← DERRICK SMITH ANDREWSAdvisorregistration: previous registration
May 30, 2003 to Oct 16, 2006factForm ADV
← BLAIR DOUGLAS HANSENAdvisorregistration: previous registration
Apr 10, 2002 to Sep 29, 2003factForm ADV
← CAROLYN JILL CAMPBELLAdvisorregistration: previous registration
Jul 10, 2002 to Sep 29, 2003factForm ADV
← RONALD J RUBINAdvisorregistration: previous registration
Nov 8, 2002 to Aug 14, 2003factForm ADV
← GEORGE WILLIAM MELBRODAdvisorregistration: previous registration
Apr 9, 2002 to Jul 11, 2003factForm ADV
← DAVID ANTHONY STEVENSAdvisorregistration: previous registration
Aug 30, 2002 to Jan 9, 2003factForm ADV
← JOSEPH GERARD CAMPISIAdvisorregistration: previous registration
Feb 28, 2002 to Jul 2, 2002factForm ADV

Moved with (2)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2017 to Nov 29, 2017factForm ADV
← NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviser3 advisors, team lift out, same day
Nov 29, 2017 to Jul 6, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0087c9d-aa3c-031c-89b6-430e0e2c0254
First observed: Feb 24, 2012
Last observed: Sep 8, 2017 110 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.

THE PLANNERS NETWORK, INC.

CRD 108355

TEMECULA, 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:b0087c9d-aa3c-031c-89b6-430e0e2c0254

Data as of Sep 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HANSEN, MARK, DOUGLAS

Director

yes

08/2017

Aug 28, 2017

Sep 8, 2017

HULL, MARK, HAROLD

Director

yes

08/2016

Sep 26, 2016

Sep 8, 2017

LOCKLIN, KAREN, BJORKLUND

SECRETARY, COO AND CCO

yes

10/2000

Feb 24, 2012

Sep 8, 2017

ROSE, DENNIS, FRANK

Director

yes

08/2017

Aug 28, 2017

Sep 8, 2017

STURM, RICHARD, PAUL

Director

yes

08/2017

Aug 28, 2017

Sep 8, 2017

SUTHERLAND, MICHAEL, DAVID

Director

yes

08/2016

Sep 26, 2016

Sep 8, 2017

VANDERZWAAG, DAVID, JOHN

Director

yes

08/2017

Feb 24, 2012

Sep 8, 2017

WILLIAMS, DAVID, NATHAN

Director

yes

07/2013

Feb 24, 2012

Sep 8, 2017

City

State

Country

Employees

Also broker-dealer

ANAHEIM HILLS

United States

n/a

MANHATTAN BEACH

United States

n/a

SAN DIEGO

United States

n/a

SAN JOSE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Sep 8, 2017

$109M

$108M

n/a

2016

Sep 26, 2016

$121M

$98.9M

n/a

2015

Aug 4, 2015

$234M

$192M

n/a

2014

Aug 5, 2014

$151M

$111M

n/a

2013

Sep 25, 2013

$234M

$184M

n/a

2012

Sep 17, 2012

$182M

$143M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$109M

$121M

-9.3%

$151M

-10.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Dec 31, 2017

Nov 29, 2017

MANHATTAN BEACH, CA

Team lift out

Other

50.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Nov 29, 2017

Jul 6, 2016

LOS ANGELES, CA

Team lift out

Other

0.7%

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Oct 19, 2017

May 24, 2004

IRVINE, CA

Team lift out

Other

0.5%