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

Asset Planning & Management, Inc.

Former SEC-registered adviserCRD 116833SEC 801-109924IAPD
Latest filing Apr 15, 2021
First filing on the tape Apr 2, 2012 · 10 filings
RAUM
$10.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$10.4M as of Apr 15, 2021
Apr 2, 2012$52.1M then
HNW client RAUM$9.8M as of Apr 15, 2021
Mar 30, 2018$107M then
State-registered IARs (5.B.3)1 as of Apr 15, 2021
Apr 2, 20120 then
Employees (5.A)1 as of Apr 15, 2021
Mar 30, 20181 then
Private funds: no history
RAUM -91% over the last fiscal year-55% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 15, 2021; every figure names its basis
RAUM per advisor
$10.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-91%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 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$9.8M94%
  • Individuals$572,0435.5%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gibson Greer Bacon · President/Chief Compliance Officercontrol
    since 01/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 80 to 10
    Jun 30, 2020 to Apr 15, 2021
  • Advisory activities · 4 to 2
    Jun 30, 2020 to Apr 15, 2021
  • HNW clients · 54 to 8
    Jun 30, 2020 to Apr 15, 2021
  • Individual clients · 26.0 to unset
    Jun 30, 2020 to Apr 15, 2021
  • Financial planning clients · 51-100 to 1-10
    Jun 30, 2020 to Apr 15, 2021
  • HQ city · SPOKANE to unset
    Jun 30, 2020 to Apr 15, 2021
  • HQ state · WA to unset
    Jun 30, 2020 to Apr 15, 2021
  • Discretionary RAUM · $117M to $10.4M
    Jun 30, 2020 to Apr 15, 2021
  • HNW RAUM · $105M to $9.8M
    Jun 30, 2020 to Apr 15, 2021
  • Individual RAUM · $11.8M to $572,043
    Jun 30, 2020 to Apr 15, 2021
  • RAUM · $117M to $10.4M
    Jun 30, 2020 to Apr 15, 2021
  • Accounts · 79 to 80
    Mar 31, 2019 to Feb 28, 2020
  • HNW clients · 61 to 54
    Mar 31, 2019 to Feb 28, 2020
  • Individual clients · 18 to 26
    Mar 31, 2019 to Feb 28, 2020
  • Assets in custody · 2297255.0 to unset
    Mar 31, 2019 to Feb 28, 2020
  • Discretionary RAUM · $105M to $117M
    Mar 31, 2019 to Feb 28, 2020
  • HNW RAUM · $97.9M to $105M
    Mar 31, 2019 to Feb 28, 2020
  • Individual RAUM · $7.2M to $11.8M
    Mar 31, 2019 to Feb 28, 2020
  • RAUM · $105M to $117M
    Mar 31, 2019 to Feb 28, 2020
  • Accounts · 80 to 79
    Mar 30, 2018 to Mar 31, 2019
  • HNW clients · 66 to 61
    Mar 30, 2018 to Mar 31, 2019
  • Individual clients · 14 to 18
    Mar 30, 2018 to Mar 31, 2019
  • Assets in custody · $3.4M to $2.3M
    Mar 30, 2018 to Mar 31, 2019
  • Discretionary RAUM · $113M to $105M
    Mar 30, 2018 to Mar 31, 2019
  • HNW RAUM · $107M to $97.9M
    Mar 30, 2018 to Mar 31, 2019
  • Individual RAUM · $5.8M to $7.2M
    Mar 30, 2018 to Mar 31, 2019
  • RAUM · $113M to $105M
    Mar 30, 2018 to Mar 31, 2019
  • Accounts · 78 to 80
    Jan 24, 2017 to Mar 30, 2018
  • Advisory employees · 2 to 1
    Jan 24, 2017 to Mar 30, 2018
  • Advisory activities · 5 to 4
    Jan 24, 2017 to Mar 30, 2018
  • Charity clients · unset to 0.0
    Jan 24, 2017 to Mar 30, 2018
  • Corporate clients · unset to 0.0
    Jan 24, 2017 to Mar 30, 2018
  • HNW clients · unset to 66.0
    Jan 24, 2017 to Mar 30, 2018
  • Individual clients · unset to 14.0
    Jan 24, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 0.0
    Jan 24, 2017 to Mar 30, 2018
  • Pooled vehicle clients · unset to 0.0
    Jan 24, 2017 to Mar 30, 2018
  • Assets in custody · $3.3M to $3.4M
    Jan 24, 2017 to Mar 30, 2018
  • Employees · 2 to 1
    Jan 24, 2017 to Mar 30, 2018
  • State-registered IARs · 2 to 1
    Jan 24, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Jan 24, 2017 to Mar 30, 2018
Signals
2 dated events
  • Asset Planning & Management, Inc. reported RAUM $10.4M, down 91% from $117.3M (2020-06-30 to 2021-04-15)
    Apr 15, 2021 · RAUM change · derived
  • Asset Planning & Management, Inc. filed its initial SEC registration (Form ADV)
    Jan 24, 2017 · First SEC registration · fact
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