DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

FINANCIAL PLANNING AND INFORMATION SERVICES, INC.

CRD 113110

DE PERE, WI

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:ccd821fb-7ed9-882b-c1b4-70849326f306

Data as of Oct 10, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 11
On other graphs: 0
Observed: Mar 28, 2012 to Oct 10, 2024
37 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: $1.1BItem 5.F on the latest filing (2024-10-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,135
Individual clients: 810
High net worth clients: 347
Custody, client assets: $694M
SEC number: 801-61933
CRD: 113110
Filings on the tape: 37
First filed: Mar 28, 2012
Latest filed: Oct 10, 2024
Organised: Corporation, Wisconsin
Website: thefinplangroup.com

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
BROWN, RACHEL, DOROTHY	VICE PRESIDENT	B	yes	10/2013	Oct 29, 2013	Oct 10, 2024
BUDINGER, DANIEL, JAMES	VICE PRESIDENT	C	yes	01/2010	Mar 28, 2012	Oct 10, 2024
WEMPE, RYAN, BRENT	President	D	yes	03/2018	Mar 28, 2012	Oct 10, 2024
Elfenbein, Lonny, Scott	CHIEF COMPLIANCE OFFICER	Na	no	07/2023	Aug 23, 2023	Oct 10, 2024

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
2023	Mar 13, 2024	$1.1B	$1.1B	16	10	0	n/a	n/a
2022	Feb 28, 2023	$897M	$897M	17	4	0	n/a	n/a
2021	Mar 12, 2022	$1.0B	$1.0B	17	8	0	n/a	n/a
2020	Feb 10, 2021	$874M	$874M	14	7	0	n/a	n/a
2019	Mar 18, 2020	$772M	$772M	12	7	0	n/a	n/a
2018	Mar 26, 2019	$517M	$517M	14	7	0	n/a	n/a
2017	Feb 28, 2018	$497M	$497M	14	7	0	n/a	n/a
2016	Feb 23, 2017	$431M	$431M	11	4	n/a	n/a	n/a
2015	Feb 26, 2016	$362M	$362M	9	4	n/a	n/a	n/a
2014	Mar 26, 2015	$338M	$338M	8	4	n/a	n/a	n/a
2013	Mar 21, 2014	$305M	$305M	8	4	n/a	n/a	n/a
2012	Mar 28, 2013	$257M	$257M	8	3	n/a	n/a	n/a
2011	Mar 28, 2012	$227M	$227M	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
2023	$1.1B	$897M	20.4%	$874M	7.3%	16	17	0	0

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
HIGHTOWER ADVISORS, LLC	7	Feb 4, 2025	Jan 3, 2025	DE PERE, WI	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (3)

← BUDINGER, DANIEL, JAMESOwnerVICE PRESIDENT, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← WEMPE, RYAN, BRENTOwnerPRESIDENT, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← BROWN, RACHEL, DOROTHYOwnerVICE PRESIDENT, ownership code B, individual
Oct 29, 2013 to presentfactForm ADV

Owns (1)

← Elfenbein, Lonny, ScottOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 23, 2023 to presentfactForm ADV

Registered with (7)

← Daniel James BudingerAdvisorregistration: previous registration
Sep 22, 2009 to Feb 4, 2025factForm ADV
← Ryan Brent WempeAdvisorregistration: previous registration
Sep 4, 2007 to Feb 4, 2025factForm ADV
← Jacqueline Ann LawrenceAdvisorregistration: previous registration
May 29, 2024 to Feb 4, 2025factForm ADV
← Rachel Dorothy BrownAdvisorregistration: previous registration
Oct 30, 2013 to Feb 4, 2025factForm ADV
← Carl E EkstromAdvisorregistration: previous registration
Jun 30, 2023 to Feb 4, 2025factForm ADV
← Brock BeckerAdvisorregistration: previous registration
Mar 11, 2022 to Feb 4, 2025factForm ADV
← Allison BuchholtzAdvisorregistration: previous registration
Aug 13, 2024 to Feb 4, 2025factForm ADV

Moved with (1)

→ HIGHTOWER ADVISORS, LLCRegistered adviser7 advisors, firm absorbed, same day
Feb 4, 2025 to Jan 3, 2025factForm ADV

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
Financial Planning And Information Services, Inc. no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.1B)
Form ADVobserved 6 days ago
$1.1B
Occurred
Feb 4, 2025
Firm absorbed
Financial Planning And Information Services, Inc.'s advisors moved to Hightower Advisors, LLC (DE Pere, WI): 7 of 7 registered, on the same day
Form ADVobserved 6 days ago
7 advisors
Occurred
Feb 4, 2025
Advisor changed firm
Carl E Ekstrom left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Jacqueline Ann Lawrence left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Daniel James Budinger left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Rachel Dorothy Brown left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Brock Becker left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Ryan Brent Wempe left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-03)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Allison Buchholtz left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-03)
Form ADVobserved 6 days ago
Occurred
Sep 1, 2021
Control person left
Lee Lonnie Mishler (Director) no longer on Schedule A of Financial Planning And Information Services, Inc. (listed 2021-03-05, absent 2021-09-01)
Form ADVobserved 6 days ago
Occurred
Mar 18, 2020
Regulatory AUM changed
Financial Planning And Information Services, Inc. reported RAUM $771.5M, up 49% from $517.0M (2019-03-26 to 2020-03-18)
Form ADVobserved 6 days ago
$255M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccd821fb-7ed9-882b-c1b4-70849326f306
First observed: Mar 28, 2012
Last observed: Oct 10, 2024 23 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.

FINANCIAL PLANNING AND INFORMATION SERVICES, INC.

CRD 113110

DE PERE, WI

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:ccd821fb-7ed9-882b-c1b4-70849326f306

Data as of Oct 10, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, RACHEL, DOROTHY

VICE PRESIDENT

yes

10/2013

Oct 29, 2013

Oct 10, 2024

BUDINGER, DANIEL, JAMES

VICE PRESIDENT

yes

01/2010

Mar 28, 2012

Oct 10, 2024

WEMPE, RYAN, BRENT

President

yes

03/2018

Mar 28, 2012

Oct 10, 2024

Elfenbein, Lonny, Scott

CHIEF COMPLIANCE OFFICER

07/2023

Aug 23, 2023

Oct 10, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 13, 2024

$1.1B

n/a

2022

Feb 28, 2023

$897M

n/a

2021

Mar 12, 2022

$1.0B

n/a

2020

Feb 10, 2021

$874M

n/a

2019

Mar 18, 2020

$772M

n/a

2018

Mar 26, 2019

$517M

n/a

2017

Feb 28, 2018

$497M

n/a

2016

Feb 23, 2017

$431M

n/a

2015

Feb 26, 2016

$362M

n/a

2014

Mar 26, 2015

$338M

n/a

2013

Mar 21, 2014

$305M

n/a

2012

Mar 28, 2013

$257M

n/a

2011

Mar 28, 2012

$227M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$1.1B

$897M

20.4%

$874M

7.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HIGHTOWER ADVISORS, LLC

Feb 4, 2025

Jan 3, 2025

DE PERE, WI

Firm absorbed

RIA to ibd

100.0%