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
Asset Planning, Inc
Latest filing Jan 26, 2026
First filing on the tape Mar 27, 2012 · 21 filings
SEC status approved since Apr 13, 2004
RAUM
$553M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$551M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
5
5 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$553M as of Jan 26, 2026
Mar 27, 2012$108M then
HNW client RAUM$471M as of Jan 26, 2026
Mar 27, 2018$240M then
State-registered IARs (5.B.3)5 as of Jan 26, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Jan 26, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +9.4% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $568,823derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$471M85%
- Individuals$79.9M14%
- Pension and profit-sharing plans$2.5M0.4%
- Individual clients
- 187reported
- HNW clients
- 186reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 973reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Carol SomoanoCertified Financial Planner | Los Alamitos, Ca | Jun 3, 2005 | 21 y | 0 |
| Erin Marie NelsenCertified Financial Planner | Los Alamitos, Ca | May 23, 2008 | 19 y | 0 |
| Melani Rose List | Los Alamitos, Ca | Jul 19, 2018 | 10 y | 0 |
| Tiarra L Johnson | Los Alamitos, Ca | Jun 30, 2021 | 10 y | 0 |
| Sandra Cheryl FieldCertified Financial Planner | Los Alamitos, Ca | Jan 1, 2025 | 46 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Samantha Joann Garcia to Halbert HargroveNov 16, 2018 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cheryl Sandra Field · Presidentcontrolsince 10/1989 · owns 50% to 75%
- Marie Erin Nelsen · Secretarycontrolsince 01/2019 · owns 10% to 25%
- Carol Somoano · Vice President/Chief Compliance Officercontrolsince 09/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
- Amanda Hellerinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Alamitos, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,018 to 973Mar 10, 2025 to Jan 26, 2026
- Advisory employees · 6 to 5Mar 10, 2025 to Jan 26, 2026
- HNW clients · 175 to 186Mar 10, 2025 to Jan 26, 2026
- Individual clients · 199 to 187Mar 10, 2025 to Jan 26, 2026
- Employees · 6 to 5Mar 10, 2025 to Jan 26, 2026
- Discretionary RAUM · $505M to $552MMar 10, 2025 to Jan 26, 2026
- HNW RAUM · $418M to $471MMar 10, 2025 to Jan 26, 2026
- Individual RAUM · $86.5M to $79.9MMar 10, 2025 to Jan 26, 2026
- Non-discretionary RAUM · $1.3M to $1.1MMar 10, 2025 to Jan 26, 2026
- Pension RAUM · $1.3M to $2.5MMar 10, 2025 to Jan 26, 2026
- RAUM · $506M to $553MMar 10, 2025 to Jan 26, 2026
- Accounts · 390 to 1,018Nov 14, 2024 to Mar 10, 2025
- HNW clients · 259 to 175Nov 14, 2024 to Mar 10, 2025
- Individual clients · 129 to 199Nov 14, 2024 to Mar 10, 2025
- Financial planning clients · 11-25 to 11-25Nov 14, 2024 to Mar 10, 2025
- HQ city · CYPRESS to LOS ALAMITOSNov 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $442M to $505MNov 14, 2024 to Mar 10, 2025
- HNW RAUM · $420M to $418MNov 14, 2024 to Mar 10, 2025
- Individual RAUM · $24.1M to $86.5MNov 14, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $4.9M to $1.3MNov 14, 2024 to Mar 10, 2025
- Pension RAUM · $1.9M to $1.3MNov 14, 2024 to Mar 10, 2025
- RAUM · $446M to $506MNov 14, 2024 to Mar 10, 2025
- Related insurance company · true to falseNov 14, 2024 to Mar 10, 2025
- Accounts · 387 to 390Sep 1, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Sep 1, 2023 to Mar 26, 2024
- HNW clients · 236 to 259Sep 1, 2023 to Mar 26, 2024
- Individual clients · 149 to 129Sep 1, 2023 to Mar 26, 2024
- Employees · 5 to 6Sep 1, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 11-25Sep 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $393M to $442MSep 1, 2023 to Mar 26, 2024
- HNW RAUM · $360M to $420MSep 1, 2023 to Mar 26, 2024
- Individual RAUM · $32.3M to $24.1MSep 1, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.1M to $4.9MSep 1, 2023 to Mar 26, 2024
- Pension RAUM · $2.0M to $1.9MSep 1, 2023 to Mar 26, 2024
- RAUM · $394M to $446MSep 1, 2023 to Mar 26, 2024
- Accounts · 374 to 387Mar 11, 2022 to Mar 24, 2023
- Advisory employees · 6 to 5Mar 11, 2022 to Mar 24, 2023
- HNW clients · 221 to 236Mar 11, 2022 to Mar 24, 2023
- Individual clients · 151 to 149Mar 11, 2022 to Mar 24, 2023
- Employees · 6 to 5Mar 11, 2022 to Mar 24, 2023
Signals
1 dated events
- Marie Erin Nelsen (Secretary) appeared on Schedule A of Asset Planning, IncMay 31, 2019 · Control person joined · fact
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
- andrea@assetplanninginc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 714-827-5794reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/asset-planning-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- ASSETPLANNINGINC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 714-827-5794reportedpublic record, Form ADV, Jan 26, 2026
- Team page
- assetplanninginc.com/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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026