DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ASSET PLANNING, INC

CRD 111535

LOS ALAMITOS, 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:b85c937d-5c87-c260-27fc-d129402fee49

Data as of Jan 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Jan 26, 2026
21 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $553MItem 5.F on the latest filing (2026-01-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $552M
Private client RAUM: $551MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $111Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 973
Individual clients: 187
High net worth clients: 186
SEC number: 801-62993
CRD: 111535
Filings on the tape: 21
First filed: Mar 27, 2012
Latest filed: Jan 26, 2026
Organised: Corporation, CA
Website: assetplanninginc.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
CAROL SOMOANO	Certified Financial Planner	LOS ALAMITOS, CA	21	21	n/a	no
ERIN MARIE NELSEN	Certified Financial Planner	LOS ALAMITOS, CA	18	19	n/a	no
Melani Rose List	n/a	LOS ALAMITOS, CA	8	10	n/a	no
Tiarra L Johnson	n/a	LOS ALAMITOS, CA	5	10	n/a	no
SANDRA CHERYL FIELD	Certified Financial Planner	LOS ALAMITOS, CA	1	46	n/a	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
FIELD, SANDRA, CHERYL	President	D	yes	10/1989	Mar 27, 2012	Nov 14, 2024
NELSEN, ERIN, MARIE	Secretary	B	yes	01/2019	May 31, 2019	Nov 14, 2024
SOMOANO, CAROL	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	09/2009	Mar 27, 2012	Nov 14, 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
AMANDA HELLER	n/a	n/a	n/a	N	no	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	Offices	Private funds	Fund GAV
2025	Jan 26, 2026	$553M	$552M	5	5	0	n/a	n/a
2024	Mar 10, 2025	$506M	$505M	6	6	0	n/a	n/a
2023	Mar 26, 2024	$446M	$442M	6	6	0	n/a	n/a
2022	Mar 24, 2023	$394M	$393M	5	5	0	n/a	n/a
2021	Mar 11, 2022	$447M	$446M	6	6	0	n/a	n/a
2020	Mar 23, 2021	$377M	$376M	5	5	0	n/a	n/a
2019	Mar 6, 2020	$325M	$324M	5	5	0	n/a	n/a
2018	Mar 12, 2019	$264M	$262M	4	4	1	n/a	n/a
2017	Mar 27, 2018	$263M	$261M	5	4	1	n/a	n/a
2016	Mar 27, 2017	$220M	$219M	5	4	n/a	n/a	n/a
2015	Mar 29, 2016	$201M	$200M	4	4	n/a	n/a	n/a
2014	Mar 30, 2015	$183M	$182M	5	5	n/a	n/a	n/a
2013	Mar 28, 2014	$160M	$158M	5	5	n/a	n/a	n/a
2012	Mar 25, 2013	$134M	$132M	4	4	n/a	n/a	n/a
2011	Mar 27, 2012	$108M	$105M	n/a	n/a	n/a	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
0	0	0	0.0%	0	0	0	0	0

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	$553M	$506M	9.4%	$394M	12.0%	5	6	0	0

Relationships

Registered with (6)

← SANDRA CHERYL FIELDAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Tiarra L JohnsonAdvisorregistration: current employment
Jun 30, 2021 to presentfactForm ADV
← Melani Rose ListAdvisorregistration: current employment
Jul 19, 2018 to presentfactForm ADV
← ERIN MARIE NELSENAdvisorregistration: current employment
May 23, 2008 to presentfactForm ADV
← CAROL SOMOANOAdvisorregistration: current employment
Jun 3, 2005 to presentfactForm ADV
← SAMANTHA JOANN GARCIAAdvisorregistration: previous registration
Jul 10, 2014 to Nov 16, 2018factForm ADV

Controls (3)

← FIELD, SANDRA, CHERYLOwnerPRESIDENT, ownership code D, individual
Mar 27, 2012 to Nov 14, 2024factForm ADV
← SOMOANO, CAROLOwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 27, 2012 to Nov 14, 2024factForm ADV
← NELSEN, ERIN, MARIEOwnerSECRETARY, ownership code B, individual
May 31, 2019 to Nov 14, 2024factForm ADV

Dated events

Occurred
May 31, 2019
Control person joined
Marie Erin Nelsen (Secretary) appeared on Schedule A of Asset Planning, Inc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b85c937d-5c87-c260-27fc-d129402fee49
First observed: Mar 27, 2012
Last observed: Jan 26, 2026 7 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.

ASSET PLANNING, INC

CRD 111535

LOS ALAMITOS, 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:b85c937d-5c87-c260-27fc-d129402fee49

Data as of Jan 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CAROL SOMOANO

Certified Financial Planner

LOS ALAMITOS, CA

n/a

ERIN MARIE NELSEN

Certified Financial Planner

LOS ALAMITOS, CA

n/a

Melani Rose List

n/a

LOS ALAMITOS, CA

n/a

Tiarra L Johnson

n/a

LOS ALAMITOS, CA

n/a

SANDRA CHERYL FIELD

Certified Financial Planner

LOS ALAMITOS, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIELD, SANDRA, CHERYL

President

yes

10/1989

Mar 27, 2012

Nov 14, 2024

NELSEN, ERIN, MARIE

Secretary

yes

01/2019

May 31, 2019

Nov 14, 2024

SOMOANO, CAROL

VICE PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

09/2009

Mar 27, 2012

Nov 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMANDA HELLER

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 26, 2026

$553M

$552M

n/a

2024

Mar 10, 2025

$506M

$505M

n/a

2023

Mar 26, 2024

$446M

$442M

n/a

2022

Mar 24, 2023

$394M

$393M

n/a

2021

Mar 11, 2022

$447M

$446M

n/a

2020

Mar 23, 2021

$377M

$376M

n/a

2019

Mar 6, 2020

$325M

$324M

n/a

2018

Mar 12, 2019

$264M

$262M

n/a

2017

Mar 27, 2018

$263M

$261M

n/a

2016

Mar 27, 2017

$220M

$219M

n/a

2015

Mar 29, 2016

$201M

$200M

n/a

2014

Mar 30, 2015

$183M

$182M

n/a

2013

Mar 28, 2014

$160M

$158M

n/a

2012

Mar 25, 2013

$134M

$132M

n/a

2011

Mar 27, 2012

$108M

$105M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$553M

$506M

9.4%

$394M

12.0%