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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC

CRD 305339

METAIRIE, LA

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:e07cbfdf-48ef-5588-b828-428b584d60f7

Data as of Jan 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 7, 2019 to Jan 30, 2020
7 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: $47.4MItem 5.F on the latest filing (2020-01-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $44.4M
Private client RAUM: $46.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $23.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 150
Individual clients: 32
High net worth clients: 27
SEC number: 801-117303
CRD: 305339
Filings on the tape: 7
First filed: Aug 7, 2019
Latest filed: Jan 30, 2020
Organised: Limited Liability Company, Louisiana

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
RALPH CARROLL FREIBERT	Certified Financial Planner	METAIRIE, LA	7	29	2	no
ROBERT LEWIS HEINTZ	Chartered Financial Analyst	METAIRIE, LA \| Pearland, TX	6	39	1	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
NOTO, ANDREW, BRIAN	CHIEF COMPLIANCE OFFICER & MANAGING MEMBER	E	yes	09/2019	Aug 7, 2019	Jan 30, 2020

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
2019	Jan 10, 2020	$47.4M	$44.4M	2	2	0	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
2019	$47.4M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Registered with (3)

← ROBERT LEWIS HEINTZAdvisorregistration: current employment
Apr 16, 2020 to presentfactForm ADV
← RALPH CARROLL FREIBERTAdvisorregistration: current employment
Sep 14, 2019 to presentfactForm ADV
← ANDREW BRIAN NOTOAdvisorregistration: previous registration
Sep 6, 2019 to Nov 1, 2022factForm ADV

Controls (1)

← NOTO, ANDREW, BRIANOwnerCHIEF COMPLIANCE OFFICER & MANAGING MEMBER, ownership code E, individual
Aug 7, 2019 to presentfactForm ADV

Dated events

Occurred
Nov 1, 2022
Advisor changed firm
Andrew Brian Noto left Planning Associates Wealth Management, Llc for Ubs Financial Services Inc. (registered 2022-11-16)
Form ADVobserved 4 days ago
Occurred
Aug 7, 2019
First Form ADV filing
Planning Associates Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e07cbfdf-48ef-5588-b828-428b584d60f7
First observed: Aug 7, 2019
Last observed: Jan 30, 2020 80 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.

PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC

CRD 305339

METAIRIE, LA

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:e07cbfdf-48ef-5588-b828-428b584d60f7

Data as of Jan 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RALPH CARROLL FREIBERT

Certified Financial Planner

METAIRIE, LA

ROBERT LEWIS HEINTZ

Chartered Financial Analyst

METAIRIE, LA | Pearland, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NOTO, ANDREW, BRIAN

CHIEF COMPLIANCE OFFICER & MANAGING MEMBER

yes

09/2019

Aug 7, 2019

Jan 30, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jan 10, 2020

$47.4M

$44.4M

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

2019

$47.4M

n/a