DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Wealth Planning Corp
Latest filing Mar 28, 2025
First filing on the tape Mar 8, 2012 · 21 filings
SEC status approved since Feb 18, 1983
RAUM
$518M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
94%
$485M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$518M as of Mar 28, 2025
Mar 8, 2012$125M then
HNW client RAUM$92.1M as of Mar 28, 2025
Mar 20, 2018$21.5M then
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 13, 20132 then
Employees (5.A)10 as of Mar 28, 2025
Mar 13, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $14.7M, 40 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$393M76%
- High-net-worth individuals$92.1M18%
- Charitable organizations$33.2M6.4%
- Individual clients
- 433reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 454reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.7M for 40 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Malea A Hornback to Bouvel Investment Partners, LLCFeb 19, 2026 · RIA to RIA
- James Charles Oliger to Wealthquest CorporationMar 29, 2016 · Other
- Wade Keith Daniel to Wealthquest CorporationApr 20, 2010 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allan Todd Steinbrink · President And Chief Compliance Officercontrolsince 07/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 456 to 454Mar 25, 2024 to Mar 28, 2025
- HNW clients · 14 to 15Mar 25, 2024 to Mar 28, 2025
- Individual clients · 436 to 433Mar 25, 2024 to Mar 28, 2025
- Assets in custody · $14.3M to $14.7MMar 25, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $439M to $500MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $81.0M to $92.1MMar 25, 2024 to Mar 28, 2025
- Individual RAUM · $347M to $393MMar 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $16.4M to $18.5MMar 25, 2024 to Mar 28, 2025
- RAUM · $455M to $518MMar 25, 2024 to Mar 28, 2025
- Accounts · 405 to 456Nov 22, 2023 to Mar 25, 2024
- HNW clients · 13 to 14Nov 22, 2023 to Mar 25, 2024
- Individual clients · 383 to 436Nov 22, 2023 to Mar 25, 2024
- Assets in custody · $10.6M to $14.3MNov 22, 2023 to Mar 25, 2024
- Custody of client assets · false to trueNov 22, 2023 to Mar 25, 2024
- Employees · 9 to 10Nov 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $384M to $439MNov 22, 2023 to Mar 25, 2024
- HNW RAUM · $66.1M to $81.0MNov 22, 2023 to Mar 25, 2024
- Individual RAUM · $308M to $347MNov 22, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $14.2M to $16.4MNov 22, 2023 to Mar 25, 2024
- RAUM · $399M to $455MNov 22, 2023 to Mar 25, 2024
- Accounts · 397 to 405Mar 28, 2022 to Mar 22, 2023
- HNW clients · 10 to 13Mar 28, 2022 to Mar 22, 2023
- Individual clients · 381 to 383Mar 28, 2022 to Mar 22, 2023
- Assets in custody · $11.2M to $10.6MMar 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $429M to $384MMar 28, 2022 to Mar 22, 2023
- HNW RAUM · $70.3M to $66.1MMar 28, 2022 to Mar 22, 2023
- Individual RAUM · $344M to $308MMar 28, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $16.0M to $14.2MMar 28, 2022 to Mar 22, 2023
- RAUM · $445M to $399MMar 28, 2022 to Mar 22, 2023
- Accounts · 367 to 397Mar 29, 2021 to Mar 23, 2022
- Individual clients · 351 to 381Mar 29, 2021 to Mar 23, 2022
- Assets in custody · $10.3M to $11.2MMar 29, 2021 to Mar 23, 2022
- Employees · 10 to 9Mar 29, 2021 to Mar 23, 2022
- Discretionary RAUM · $368M to $429MMar 29, 2021 to Mar 23, 2022
- HNW RAUM · $61.5M to $70.3MMar 29, 2021 to Mar 23, 2022
- Individual RAUM · $294M to $344MMar 29, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $14.9M to $16.0MMar 29, 2021 to Mar 23, 2022
- RAUM · $383M to $445MMar 29, 2021 to Mar 23, 2022
- Accounts · 338 to 367Jun 15, 2020 to Mar 29, 2021
Signals
4 dated events
- Wealth Planning Corp no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $518.2M)Apr 1, 2026 · Left the SEC roster · derived
- Malea A Hornback left Wealth Planning Corp for Bouvel Investment Partners, Llc (registered 2026-05-12)Feb 19, 2026 · Advisor changed firm · fact
- Wealth Planning Corp reported RAUM $383.3M, up 43% from $268.8M (2020-06-15 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Michael Conley Johnson (Founder And Principal) no longer on Schedule A of Wealth Planning Corp (listed 2019-03-26, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026