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The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

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

FIRST COMMAND FINANCIAL PLANNING, INC.

CRD 3641

FT WORTH, TX

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:b42692a4-a3b2-a521-2e40-dcd418ee2c42

Data as of Oct 1, 2015 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 368
Dated events: 1
On other graphs: 0
Observed: Dec 22, 2011 to Oct 1, 2015
8 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: $9.7BItem 5.F on the latest filing (2015-10-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.7B
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: 834
Advisory employees: 646
Accounts: 70,530
SEC number: 801-56942
CRD: 3641
Filings on the tape: 8
First filed: Dec 22, 2011
Latest filed: Oct 1, 2015
Succeeded: a predecessor named on Item 4
Organised: Corporation, Texas

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
FIRST COMMAND FINANCIAL PLANNING INC EMPLOYEE STOCK OWNERSHIP PLAN TRUST	OWNER	E	yes	11/2002	Dec 22, 2011	Oct 1, 2015
FIRST COMMAND FINANCIAL SERVICES, INC.	STOCKHOLDER/OWNER	E	yes	12/2000	Dec 22, 2011	Oct 1, 2015
HAMMOND, VERONICA DENISE	DIRECTOR, CO-CHIEF COMPLIANCE OFFICER	NA	yes	06/2014	Jun 13, 2014	Oct 1, 2015
MORRISON, MICHAEL FRANCIS	CFO/EXEC VICE PRES/DIRECTOR	NA	yes	01/2007	Dec 22, 2011	Oct 1, 2015
SARDHARWALA, MURTAZA ABBAS	VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER	NA	yes	06/2014	Jun 13, 2014	Oct 1, 2015
SIMPSON, HUGH ALAN	EXEC VICE PRES/GENERAL COUNSEL/SECRETARY	NA	yes	01/2007	Dec 22, 2011	Oct 1, 2015
SPIKER, JOHN SCOTT	PRESIDENT/CHIEF EXECUTIVE OFFICER	NA	yes	09/2007	Dec 22, 2011	Oct 1, 2015
STEFFE, MARK DUANE	EXEC VICE PRESIDENT, NATIONAL DIRECTOR, ADVISOR OPERATIONS	NA	yes	03/2010	Jan 2, 2015	Oct 1, 2015
WACKERHAGEN, JERRY ALAN	EXEC VICE PRESIDENT , OPERATIONS AND TECHNOLOGY	NA	yes	01/2013	Jan 2, 2014	Oct 1, 2015
HENDERSON, COLIN MAXWELL	TRUSTEE	F	no	11/2002	Dec 22, 2011	Oct 1, 2015

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
FIRST COMMAND BANK	n/a	n/a	n/a	N	yes	n/a
FIRST COMMAND EUROPE LTD.	n/a	n/a	n/a	N	yes	n/a
FIRST COMMAND FINANCIAL SERVICES, INC.	n/a	n/a	n/a	Y	yes	n/a
FIRST COMMAND FINANCIAL SERVICES, INC. (A MONTANA DOMESTIC CORPORATION)	n/a	n/a	n/a	N	yes	n/a
FIRST COMMAND INSURANCE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
FIRST COMMAND LIFE INSURANCE CO.	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
FAYETTEVILLE	NC	United States	n/a	no
ALEXANDRIA	VA	United States	n/a	no
FAIRFAX	VA	United States	n/a	no
NEWPORT NEWS	VA	United States	n/a	no
LAKEWOOD	WA	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
2014	Jan 2, 2015	$9.7B	$9.7B	834	646	n/a	n/a	n/a
2013	Jan 2, 2014	$8.2B	$8.2B	808	662	n/a	n/a	n/a
2012	Jan 2, 2013	$6.7B	$6.7B	743	597	n/a	n/a	n/a
2011	Dec 22, 2011	$5.7B	$5.7B	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
2014	$9.7B	$8.2B	17.9%	$5.7B	19.1%	834	808	n/a	n/a

Relationships

showing 80 of 368

Affiliated with (1)

← FIRST COMMAND ADVISORY SERVICESRegistered adviserbroker-dealer, common control
factForm ADV

Controls (9)

← STEFFE, MARK DUANEOwnerEXEC VICE PRESIDENT, NATIONAL DIRECTOR, ADVISOR OPERATIONS, ownership code NA, individual
Jan 2, 2015 to presentfactForm ADV
← SPIKER, JOHN SCOTTOwnerPRESIDENT/CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← MORRISON, MICHAEL FRANCISOwnerCFO/EXEC VICE PRES/DIRECTOR, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← SARDHARWALA, MURTAZA ABBASOwnerVICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 13, 2014 to presentfactForm ADV
← HAMMOND, VERONICA DENISEOwnerDIRECTOR, CO-CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 13, 2014 to presentfactForm ADV
← SIMPSON, HUGH ALANOwnerEXEC VICE PRES/GENERAL COUNSEL/SECRETARY, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← WACKERHAGEN, JERRY ALANOwnerEXEC VICE PRESIDENT , OPERATIONS AND TECHNOLOGY, ownership code NA, individual
Jan 2, 2014 to presentfactForm ADV
← FIRST COMMAND FINANCIAL PLANNING INC EMPLOYEE STOCK OWNERSHIP PLAN TRUSTOwnerOWNER, ownership code E, domestic entity
Dec 22, 2011 to presentfactForm ADV
← FIRST COMMAND FINANCIAL SERVICES, INC.OwnerSTOCKHOLDER/OWNER, ownership code E, domestic entity
Dec 22, 2011 to presentfactForm ADV

Owns (1)

← HENDERSON, COLIN MAXWELLOwnerTRUSTEE, ownership code F, individual
Dec 22, 2011 to presentfactForm ADV

Registered with (69)

← Emily Anne Harker SmithAdvisorregistration: previous registration
Sep 14, 2013 to Dec 16, 2015factForm ADV
← James Raymond ConnerAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← Jocinta Nina White PowellAdvisorregistration: previous registration
Aug 1, 2006 to Dec 15, 2015factForm ADV
← JOHN ESROM ANDERSONAdvisorregistration: previous registration
Feb 20, 2003 to Dec 15, 2015factForm ADV
← MARK WINFIELD HOTCHKISSAdvisorregistration: previous registration
Sep 18, 2008 to Dec 15, 2015factForm ADV
← Christopher David LeeAdvisorregistration: previous registration
Jan 8, 2003 to Dec 15, 2015factForm ADV
← Thomas Richard DelaneyAdvisorregistration: previous registration
Jun 26, 2012 to Dec 15, 2015factForm ADV
← James Michael SchlessAdvisorregistration: previous registration
Feb 9, 2000 to Dec 15, 2015factForm ADV
← BRIAN CARL NELSONAdvisorregistration: previous registration
Jan 18, 2013 to Dec 15, 2015factForm ADV
← MARTIN LEE ROBBINSAdvisorregistration: previous registration
Jan 15, 2004 to Dec 15, 2015factForm ADV
← John David SheehanAdvisorregistration: previous registration
Nov 20, 2003 to Dec 15, 2015factForm ADV
← David Eugene StuderAdvisorregistration: previous registration
Feb 15, 2001 to Dec 15, 2015factForm ADV
← Denise Christine FrazerAdvisorregistration: previous registration
Feb 20, 2015 to Dec 15, 2015factForm ADV
← Warren P BrooksAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← Sherri JanniseAdvisorregistration: previous registration
Aug 21, 2015 to Dec 15, 2015factForm ADV
← Rachel Jane HallowellAdvisorregistration: previous registration
May 27, 2008 to Dec 15, 2015factForm ADV
← Alexia L BallAdvisorregistration: previous registration
Nov 15, 2005 to Dec 15, 2015factForm ADV
← John JenningsAdvisorregistration: previous registration
Jul 1, 2014 to Dec 15, 2015factForm ADV
← JOSHUA PAUL WALSHEAdvisorregistration: previous registration
Nov 10, 2008 to Dec 15, 2015factForm ADV
← KELLY NICOLE BUCHFINKAdvisorregistration: previous registration
Sep 3, 2009 to Dec 15, 2015factForm ADV
← PATRICIA DOLORES SOTOAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← MONICA L LUKEAdvisorregistration: previous registration
Apr 12, 2007 to Dec 15, 2015factForm ADV
← Staci Ann MapesAdvisorregistration: previous registration
Nov 10, 2005 to Dec 15, 2015factForm ADV
← JAMES R. GILLAdvisorregistration: previous registration
Nov 7, 2013 to Dec 15, 2015factForm ADV
← Michael R CordreyAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← MARK ROBERT TIMKOAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← James A DeGaetanoAdvisorregistration: previous registration
Jun 11, 2007 to Dec 15, 2015factForm ADV
← Don Frederick KeelAdvisorregistration: previous registration
Apr 6, 2009 to Dec 15, 2015factForm ADV
← JOHN. W EXNERAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
← Todd Duane TaylorAdvisorregistration: previous registration
Sep 2, 2005 to Dec 15, 2015factForm ADV
and 39 more

Dated events

Occurred
Oct 1, 2015
Succession filed (Item 4)
First Command Financial Planning, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b42692a4-a3b2-a521-2e40-dcd418ee2c42
First observed: Dec 22, 2011
Last observed: Oct 1, 2015 133 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.

FIRST COMMAND FINANCIAL PLANNING, INC.

CRD 3641

FT WORTH, TX

Data as of Oct 1, 2015 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIRST COMMAND FINANCIAL PLANNING INC EMPLOYEE STOCK OWNERSHIP PLAN TRUST

OWNER

yes

11/2002

Dec 22, 2011

Oct 1, 2015

FIRST COMMAND FINANCIAL SERVICES, INC.

STOCKHOLDER/OWNER

yes

12/2000

Dec 22, 2011

Oct 1, 2015

HAMMOND, VERONICA DENISE

DIRECTOR, CO-CHIEF COMPLIANCE OFFICER

yes

06/2014

Jun 13, 2014

Oct 1, 2015

MORRISON, MICHAEL FRANCIS

CFO/EXEC VICE PRES/DIRECTOR

yes

01/2007

Dec 22, 2011

Oct 1, 2015

SARDHARWALA, MURTAZA ABBAS

VICE PRESIDENT, CO-CHIEF COMPLIANCE OFFICER

yes

06/2014

Jun 13, 2014

Oct 1, 2015

SIMPSON, HUGH ALAN

EXEC VICE PRES/GENERAL COUNSEL/SECRETARY

yes

01/2007

Dec 22, 2011

Oct 1, 2015

SPIKER, JOHN SCOTT

PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

09/2007

Dec 22, 2011

Oct 1, 2015

STEFFE, MARK DUANE

EXEC VICE PRESIDENT, NATIONAL DIRECTOR, ADVISOR OPERATIONS

yes

03/2010

Jan 2, 2015

Oct 1, 2015

WACKERHAGEN, JERRY ALAN

EXEC VICE PRESIDENT , OPERATIONS AND TECHNOLOGY

yes

01/2013

Jan 2, 2014

Oct 1, 2015

HENDERSON, COLIN MAXWELL

TRUSTEE

11/2002

Dec 22, 2011

Oct 1, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST COMMAND BANK

n/a

yes

n/a

FIRST COMMAND EUROPE LTD.

n/a

yes

n/a

FIRST COMMAND FINANCIAL SERVICES, INC.

n/a

yes

n/a

FIRST COMMAND FINANCIAL SERVICES, INC. (A MONTANA DOMESTIC CORPORATION)

n/a

yes

n/a

FIRST COMMAND INSURANCE SERVICES, INC.

n/a

yes

n/a

FIRST COMMAND LIFE INSURANCE CO.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FAYETTEVILLE

United States

n/a

ALEXANDRIA

United States

n/a

FAIRFAX

United States

n/a

NEWPORT NEWS

United States

n/a

LAKEWOOD

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Jan 2, 2015

$9.7B

834

646

n/a

2013

Jan 2, 2014

$8.2B

808

662

n/a

2012

Jan 2, 2013

$6.7B

743

597

n/a

2011

Dec 22, 2011

$5.7B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$9.7B

$8.2B

17.9%

$5.7B

19.1%

834

808

n/a