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.
SEC-registered adviser
Planning Alternatives Ltd
Latest filing Aug 7, 2026
First filing on the tape Mar 28, 2012 · 41 filings
SEC status approved since Feb 2, 1983
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.5B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$154M
derived; firm RAUM over IAPD count
Employees
20
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.5B as of Aug 7, 2026
Mar 28, 2012$450M then
HNW client RAUM$1.3B as of Aug 7, 2026
Mar 28, 2018$811M then
State-registered IARs (5.B.3)8 as of Aug 7, 2026
Mar 27, 20139 then
Employees (5.A)20 as of Aug 7, 2026
Mar 27, 201312 then
Private funds: no history
RAUM +20% over the last fiscal year+15% a year over threeIARs 6 to 8
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 693reportedItem 5.H
- Custody
- $418M, 411 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)
- 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
- High-net-worth individuals$1.3B87%
- Individuals$140M9.1%
- Corporations and businesses$27.5M1.8%
- Pension and profit-sharing plans$23.4M1.5%
- Charitable organizations$8.7M0.6%
- Individual clients
- 345reported
- HNW clients
- 324reported
- Pension plan clients
- 8reported
- Charitable clients
- 3reported
- Accounts
- 693reported
- Financial planning clients
- 693reported
- Wrap fee programs
- noreported
- Custody of client assets
- $418M for 411 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stacey Marie Gomez | Birmingham, Mi | Jun 17, 2010 | 29 y | 0 |
| Nathan Mark MersereauCertified Financial Planner | Birmingham, Mi | Feb 14, 2018 | 32 y | 3 |
| Kent W. GolightlyCertified Financial Planner | Birmingham, Mi | Sep 6, 2019 | 10 y | 0 |
| Thomas Edward GraneyCertified Financial Planner | Birmingham, Mi | Jan 28, 2022 | 35 y | 2 |
| Timothy HannaChartered Financial Analyst | Birmingham, Mi | Jul 10, 2025 | 14 y | 0 |
| Gary Steven RosenbergCertified Financial Planner | Huntington Woods, Mi | Dec 11, 2025 | 44 y | 1 |
| Heather Elizabeth FultonCertified Financial Planner | Jackson, Wy | Dec 16, 2025 | 12 y | 2 |
| David Walter TutakChartered Financial Analyst | Birmingham, Mi | Mar 16, 2026 | 13 y | 0 |
| Bradley James ImprotaCertified Financial Planner | Jackson, Wy | Mar 16, 2026 | 10 y | 0 |
| Tracey Anne Labrecque | Naples, Fl | Aug 13, 2026 | 30 y | 3 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 10% of current headcount2 left over 36 months
Left, latest
- Patrick Charles Hannon to Rwa Wealth PartnersMar 26, 2026 · RIA to RIA
- Michael David Schmidtke to Csenge Advisory Group, LLCAug 15, 2024 · RIA to RIA
- Christopher Hylen to Howard Bailey Securities, LLCMay 26, 2023 · RIA to RIA
- Angelo Jerome Leslie to Gfp Private WealthSep 29, 2021 · RIA to RIA
- Julie E. Hall Labrune to Vision Capital PartnersOct 29, 2020 · RIA to RIA
- Brent Allen Bell to Origin Investment Advisory LLCJun 29, 2020 · RIA to a newly registered adviser
- James Conrad Niedzinski to Tru Independence Asset Management, LLCFeb 10, 2020 · RIA to RIA
- William Charles Hullinger to Verity Wealth PartnersFeb 10, 2020 · Other
- Nicole Gopoian Wirick to Prosperity Wealth Strategies LLCApr 18, 2019 · RIA to a state-registered adviser
- James Conrad Niedzinski to Wealthcare Advisors, LLCFeb 9, 2018 · Other
- Nathan Mark Mersereau to Wealthcare Advisors, LLCFeb 9, 2018 · Other
- Kristie Kaye Gheysens to Financial Engines Advisor Center, LLCOct 4, 2016 · Other
- Jason Sheldon Close to Wealthcare Advisors, LLCMay 17, 2016 · Other
- Joseph Olekszyk to Wealthcare Advisors, LLCJan 31, 2014 · Other
- Lauren Symington Davis to Davis Investment Group, Ltd.Dec 3, 2013 · Other
Joined, latest
- Tracey Anne Labrecque from Fidelity Personal And Workplace AdvisorsAug 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Heather Elizabeth Fulton from Wells Fargo AdvisorsDec 16, 2025 · Wirehouse to independent RIA
- Gary Steven Rosenberg from Raymond James & Associates, Inc.Dec 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- Thomas Edward Graney from Fidelity Personal And Workplace AdvisorsJan 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- Christopher Hylen from Swan Global Investments, LLCFeb 25, 2021 · RIA to RIA
- James Conrad Niedzinski from Wealthcare Advisors, LLCFeb 14, 2018 · Other
- Nathan Mark Mersereau from Wealthcare Advisors, LLCFeb 14, 2018 · Other
- Julie E. Hall Labrune from Advice And Planning ServicesAug 24, 2016 · Other
- Nicole Gopoian Wirick from Wealthcare Advisors, LLCJan 12, 2015 · Other
- Patrick Charles Hannon from Wells Fargo AdvisorsDec 10, 2014 · Other
- Kristie Kaye Gheysens from MML Investors Services, LLCJul 29, 2014 · Other
- Jason Sheldon Close from Capelli Financial Services IncOct 14, 2013 · Other
- Joseph Olekszyk from Shell Capital Management, LLCNov 30, 2012 · Other
- James Conrad Niedzinski from Osaic Fa, Inc.Aug 31, 2010 · Other
- Nathan Mark Mersereau from Oakland Wealth Management, Inc.May 3, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Wealthcare Advisors, LLCFeb 9, 2018 · Bloomfield Hills, Mi
- 3 joined from Wealthcare Advisors, LLCFeb 9, 2018 · Bloomfield Hills, Mi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mark Nathan Mersereau · Presidentcontrolsince 05/2013 · owns 75% or more
- S Andrew Warning · Chief Compliance Officersince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Mi · principal | 10 | 5 | 1 | ||
| Jackson, Wy | 2 | 2 | 0 | ||
| Naples, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jackson, WY1 employees
- Naples, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 683 to 693Jul 15, 2025 to Mar 25, 2026
- Advisory employees · 11 to 9Jul 15, 2025 to Mar 25, 2026
- Corporate clients · 19 to 13Jul 15, 2025 to Mar 25, 2026
- HNW clients · 303 to 324Jul 15, 2025 to Mar 25, 2026
- Individual clients · 349 to 345Jul 15, 2025 to Mar 25, 2026
- Pension plan clients · 9 to 8Jul 15, 2025 to Mar 25, 2026
- Assets in custody · $452M to $418MJul 15, 2025 to Mar 25, 2026
- Employees · 24 to 20Jul 15, 2025 to Mar 25, 2026
- State-registered IARs · 6 to 8Jul 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.3B to $1.5BJul 15, 2025 to Mar 25, 2026
- HNW RAUM · $1.1B to $1.3BJul 15, 2025 to Mar 25, 2026
- Individual RAUM · $146M to $140MJul 15, 2025 to Mar 25, 2026
- Pension RAUM · $22.8M to $23.4MJul 15, 2025 to Mar 25, 2026
- RAUM · $1.3B to $1.5BJul 15, 2025 to Mar 25, 2026
- Financial planning clients · More than 500 to More than 500Mar 14, 2025 to Jul 15, 2025
- Accounts · 667 to 683Nov 5, 2024 to Mar 14, 2025
- Advisory employees · 9 to 11Nov 5, 2024 to Mar 14, 2025
- Charity clients · 0 to 3Nov 5, 2024 to Mar 14, 2025
- Corporate clients · 18 to 19Nov 5, 2024 to Mar 14, 2025
- HNW clients · 286 to 303Nov 5, 2024 to Mar 14, 2025
- Individual clients · 351 to 349Nov 5, 2024 to Mar 14, 2025
- Pension plan clients · 8 to 9Nov 5, 2024 to Mar 14, 2025
- Assets in custody · $382M to $452MNov 5, 2024 to Mar 14, 2025
- Employees · 21 to 24Nov 5, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.2B to $1.3BNov 5, 2024 to Mar 14, 2025
- HNW RAUM · $950M to $1.1BNov 5, 2024 to Mar 14, 2025
- Individual RAUM · $147M to $146MNov 5, 2024 to Mar 14, 2025
- Pension RAUM · $21.6M to $22.8MNov 5, 2024 to Mar 14, 2025
- RAUM · $1.2B to $1.3BNov 5, 2024 to Mar 14, 2025
- Accounts · 665 to 667Mar 29, 2023 to Mar 20, 2024
- Advisory employees · 12 to 9Mar 29, 2023 to Mar 20, 2024
- Charity clients · 4 to 0Mar 29, 2023 to Mar 20, 2024
- HNW clients · 255 to 286Mar 29, 2023 to Mar 20, 2024
- Individual clients · 380 to 351Mar 29, 2023 to Mar 20, 2024
- Assets in custody · $335M to $382MMar 29, 2023 to Mar 20, 2024
- Employees · 24 to 21Mar 29, 2023 to Mar 20, 2024
- State-registered IARs · 9 to 6Mar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.0B to $1.2BMar 29, 2023 to Mar 20, 2024
- HNW RAUM · $814M to $950MMar 29, 2023 to Mar 20, 2024
- Individual RAUM · $153M to $147MMar 29, 2023 to Mar 20, 2024
Signals
8 dated events
- Patrick Charles Hannon left Planning Alternatives Ltd for Rwa Wealth Partners (registered 2026-03-25)Mar 26, 2026 · Advisor changed firm · fact
- D Michael Schmidtke (Chief Operating Officer/Treasurer) no longer on Schedule A of Planning Alternatives Ltd (listed 2024-03-20, absent 2024-09-10)Sep 10, 2024 · Control person left · inference
- S Andrew Warning (Chief Compliance Officer) appeared on Schedule A of Planning Alternatives LtdSep 10, 2024 · Control person joined · fact
- Michael David Schmidtke left Planning Alternatives Ltd for Csenge Advisory Group, Llc (registered 2024-12-16)Aug 15, 2024 · Advisor changed firm · fact
- Christopher Hylen left Planning Alternatives Ltd for Howard Bailey Securities, Llc (registered 2023-06-25)May 26, 2023 · Advisor changed firm · fact
- Florence Affatato (Chief Legal Officer/Chief Compliance Officer) no longer on Schedule A of Planning Alternatives Ltd (listed 2021-04-06, absent 2021-08-10)Aug 10, 2021 · Control person left · inference
- D Michael Schmidtke (Chief Operating Officer/Treasurer) appeared on Schedule A of Planning Alternatives LtdJul 2, 2019 · Control person joined · fact
- Eugene Daniel Cook (Chief Operating Officer) no longer on Schedule A of Planning Alternatives Ltd (listed 2019-03-26, absent 2019-07-02)Jul 2, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@planningalt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-645-1710reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PLANNING-ALTERNATIVESreportedpublic record, Form ADV, Sep 17, 2026
- Website
- planningalt.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 248-645-1520reportedpublic record, Form ADV, Aug 7, 2026
- Team page
- planningalt.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026