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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SECURE PLANNING

SECURE PLANNING, LLC, CRD 42179

PORTSMOUTH, NH

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:db685f43-cfc4-d371-dcb3-e86ae351f267

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2011 to May 6, 2026
29 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=5.0
Regulatory AUM: $187MItem 5.F on the latest filing (2026-05-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $187M
Private client RAUM: $187MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $46.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 846
Individual clients: 510
High net worth clients: 19
SEC number: 801-55630
CRD: 42179
Filings on the tape: 29
First filed: Nov 21, 2011
Latest filed: May 6, 2026
Organised: Limited Liability Company, NH

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
EDWARD JOHN MALLON	Certified Financial Planner	PORTSMOUTH, NH	29	35	n/a	yes
JULIANNE MARY SMITH	n/a	PORTSMOUTH, NH	20	22	1	yes
LISA ANNE DUGAN	Certified Financial Planner	PORTSMOUTH, NH	18	28	n/a	yes
JUSTIN DALE FINN	n/a	PORTSMOUTH, NH \| Portsmouth, NH	14	26	n/a	yes

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
EDWARD J. MALLON REVOCABLE TRUST, EDWARD J MALLON TRUSTEE	Owner	E	yes	10/1990	Nov 21, 2011	Jul 30, 2024
MALLON, EDWARD JOHN JR	PRESIDENT/TRUSTEE	Na	yes	10/1990	Nov 21, 2011	Jul 30, 2024
DUGAN, LISA ANNE	EXECUTIVE OFFICER	Na	no	05/2006	Nov 21, 2011	Jul 30, 2024
GENDRON, KAREN MARIE	Finop	Na	no	10/2008	Nov 21, 2011	Jul 30, 2024
SMITH, JULIANNE MARY	CHIEF COMPLIANCE OFFICER	Na	no	02/2007	Nov 21, 2011	Jul 30, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Portsmouth	Nh	United States	2	yes

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	Mar 26, 2026	$187M	$187M	5	3	1	n/a	n/a
2024	Jan 29, 2025	$169M	$169M	6	6	1	n/a	n/a
2023	Mar 13, 2024	$163M	$163M	6	4	1	n/a	n/a
2022	Mar 1, 2023	$152M	$152M	6	4	1	n/a	n/a
2021	Feb 17, 2022	$177M	$177M	6	4	1	n/a	n/a
2020	Mar 4, 2021	$161M	$161M	6	5	1	n/a	n/a
2019	Mar 11, 2020	$144M	$144M	6	5	1	n/a	n/a
2018	Feb 25, 2019	$132M	$132M	8	5	1	n/a	n/a
2017	Feb 26, 2018	$141M	$141M	9	6	0	n/a	n/a
2016	Feb 14, 2017	$120M	$120M	8	5	n/a	n/a	n/a
2015	Mar 2, 2016	$119M	$119M	8	5	n/a	n/a	n/a
2014	Mar 10, 2015	$137M	$137M	9	5	n/a	n/a	n/a
2013	Feb 4, 2014	$127M	$127M	9	8	n/a	n/a	n/a
2012	Feb 26, 2013	$121M	$121M	6	6	n/a	n/a	n/a
2011	Feb 3, 2012	$118M	$118M	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	$187M	$169M	10.4%	$152M	7.1%	5	6	1	1

Relationships

Registered with (5)

← JUSTIN DALE FINNAdvisorregistration: current employment
Jul 24, 2012 to presentfactForm ADV
← LISA ANNE DUGANAdvisorregistration: current employment
Nov 16, 2007 to presentfactForm ADV
← JULIANNE MARY SMITHAdvisorregistration: current employment
Jun 14, 2006 to presentfactForm ADV
← EDWARD JOHN MALLONAdvisorregistration: current employment
Jun 20, 1997 to presentfactForm ADV
← ROBERT CHARLES SALZERAdvisorregistration: previous registration
Jul 22, 2003 to Mar 2, 2015factForm ADV

Owns (3)

← GENDRON, KAREN MARIEOwnerFINOP, ownership code NA, individual
Nov 21, 2011 to Jul 30, 2024factForm ADV
← DUGAN, LISA ANNEOwnerEXECUTIVE OFFICER, ownership code NA, individual
Nov 21, 2011 to Jul 30, 2024factForm ADV
← SMITH, JULIANNE MARYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 21, 2011 to Jul 30, 2024factForm ADV

Controls (2)

← MALLON, EDWARD JOHN JROwnerPRESIDENT/TRUSTEE, ownership code NA, individual
Nov 21, 2011 to Jul 30, 2024factForm ADV
← EDWARD J. MALLON REVOCABLE TRUST, EDWARD J MALLON TRUSTEEOwnerOWNER, ownership code E, domestic entity
Nov 21, 2011 to Jul 30, 2024factForm ADV

Dated events

Occurred
Apr 11, 2019
Succession filed (Item 4)
Secure Planning, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db685f43-cfc4-d371-dcb3-e86ae351f267
First observed: Nov 21, 2011
Last observed: May 6, 2026 4 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.

SECURE PLANNING

SECURE PLANNING, LLC, CRD 42179

PORTSMOUTH, NH

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:db685f43-cfc4-d371-dcb3-e86ae351f267

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

EDWARD JOHN MALLON

Certified Financial Planner

PORTSMOUTH, NH

n/a

yes

JULIANNE MARY SMITH

n/a

PORTSMOUTH, NH

yes

LISA ANNE DUGAN

Certified Financial Planner

PORTSMOUTH, NH

n/a

yes

JUSTIN DALE FINN

n/a

PORTSMOUTH, NH | Portsmouth, NH

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EDWARD J. MALLON REVOCABLE TRUST, EDWARD J MALLON TRUSTEE

Owner

yes

10/1990

Nov 21, 2011

Jul 30, 2024

MALLON, EDWARD JOHN JR

PRESIDENT/TRUSTEE

yes

10/1990

Nov 21, 2011

Jul 30, 2024

DUGAN, LISA ANNE

EXECUTIVE OFFICER

05/2006

Nov 21, 2011

Jul 30, 2024

GENDRON, KAREN MARIE

Finop

10/2008

Nov 21, 2011

Jul 30, 2024

SMITH, JULIANNE MARY

CHIEF COMPLIANCE OFFICER

02/2007

Nov 21, 2011

Jul 30, 2024

City

State

Country

Employees

Also broker-dealer

Portsmouth

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$187M

n/a

2024

Jan 29, 2025

$169M

n/a

2023

Mar 13, 2024

$163M

n/a

2022

Mar 1, 2023

$152M

n/a

2021

Feb 17, 2022

$177M

n/a

2020

Mar 4, 2021

$161M

n/a

2019

Mar 11, 2020

$144M

n/a

2018

Feb 25, 2019

$132M

n/a

2017

Feb 26, 2018

$141M

n/a

2016

Feb 14, 2017

$120M

n/a

2015

Mar 2, 2016

$119M

n/a

2014

Mar 10, 2015

$137M

n/a

2013

Feb 4, 2014

$127M

n/a

2012

Feb 26, 2013

$121M

n/a

2011

Feb 3, 2012

$118M

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

$187M

$169M

10.4%

$152M

7.1%