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
Strategic Financial Planning, Inc.
Latest filing Mar 31, 2026
First filing on the tape Mar 6, 2012 · 14 filings
SEC status approved since Jan 19, 2021
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$219M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$221M as of Mar 31, 2026
May 1, 2012$42.0M then
HNW client RAUM$212M as of Mar 31, 2026
Mar 31, 2021$135M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
May 1, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 31, 20213 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $389,814derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $221M, 62 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$212M96%
- Individuals$6.6M3.0%
- Charitable organizations$2.1M1.0%
- Individual clients
- 16reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 566reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $221M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bryan Keith LeeCertified Financial Planner | Plano, Tx | Jan 7, 2003 | 32 y | 0 |
| Valerie Ann FieldCertified Financial Planner | Plano, Tx | Aug 20, 2024 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount4 left over 36 months
Left, latest
- Cason Patrick Vitello to Fisher InvestmentsMay 21, 2026 · RIA to RIA
- John David Pritchett to LPL Financial LLCMay 7, 2025 · RIA to affiliated broker-dealer or bank
- David Phillip Tenerelli to Values Added FinancialDec 31, 2024 · RIA to RIA
- Joshua David Morris to Range Advisory, LLCOct 25, 2024 · RIA to RIA
- Rhett Chase Mouchet to Ci Brightworth Private WealthAug 25, 2015 · Other
- Gregory Alan Deckert to 1st Global Advisors IncJun 17, 2013 · Other
- Daniel A Serra to Freed AdvisorsApr 1, 2013 · Other
- Paul Caleb Brown to Burgeon CapitalSep 18, 2009 · Other
Joined, latest
- John David Pritchett from North RidgeApr 20, 2025 · RIA to RIA
- Rhett Chase Mouchet from Alpha Financial Management, Inc.Sep 25, 2013 · Other
- Gregory Alan Deckert from LPL Financial LLCApr 9, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Keith Bryan Lee · President/Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 2 | 0 | 1 | ||
| Mustang, Ok | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 553 to 566May 29, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3May 29, 2025 to Mar 31, 2026
- HNW clients · 42 to 45May 29, 2025 to Mar 31, 2026
- Assets in custody · $113M to $221MMay 29, 2025 to Mar 31, 2026
- Employees · 2 to 3May 29, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 2May 29, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3May 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $191M to $221MMay 29, 2025 to Mar 31, 2026
- HNW RAUM · $181M to $212MMay 29, 2025 to Mar 31, 2026
- Individual RAUM · $8.0M to $6.6MMay 29, 2025 to Mar 31, 2026
- RAUM · $191M to $221MMay 29, 2025 to Mar 31, 2026
- Advisory employees · 4 to 2Mar 28, 2025 to May 29, 2025
- Employees · 4 to 2Mar 28, 2025 to May 29, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2025 to May 29, 2025
- State-registered IARs · 4 to 2Mar 28, 2025 to May 29, 2025
- Accounts · 534 to 553Aug 21, 2024 to Mar 28, 2025
- HNW clients · 40 to 42Aug 21, 2024 to Mar 28, 2025
- Individual clients · 17 to 16Aug 21, 2024 to Mar 28, 2025
- Assets in custody · $81.2M to $113MAug 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $166M to $191MAug 21, 2024 to Mar 28, 2025
- HNW RAUM · $156M to $181MAug 21, 2024 to Mar 28, 2025
- Individual RAUM · $7.6M to $8.0MAug 21, 2024 to Mar 28, 2025
- RAUM · $166M to $191MAug 21, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Aug 21, 2024
- State-registered IARs · 3 to 4Mar 27, 2024 to Aug 21, 2024
- Accounts · 519 to 534Mar 30, 2023 to Mar 27, 2024
- HNW clients · 38 to 40Mar 30, 2023 to Mar 27, 2024
- Individual clients · 18 to 17Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $60.1M to $81.2MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $134M to $166MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $126M to $156MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $6.7M to $7.6MMar 30, 2023 to Mar 27, 2024
- RAUM · $134M to $166MMar 30, 2023 to Mar 27, 2024
- Accounts · 525 to 519Jul 27, 2022 to Mar 30, 2023
- Charity clients · 2 to 1Jul 27, 2022 to Mar 30, 2023
- HNW clients · 40 to 38Jul 27, 2022 to Mar 30, 2023
- Individual clients · 16 to 18Jul 27, 2022 to Mar 30, 2023
- Assets in custody · $81.3M to $60.1MJul 27, 2022 to Mar 30, 2023
- Employees · 3 to 4Jul 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $163M to $134MJul 27, 2022 to Mar 30, 2023
Signals
4 dated events
- John David Pritchett left Strategic Financial Planning, Inc. for Lpl Financial Llc (registered 2025-09-02)May 7, 2025 · Advisor changed firm · fact
- David Phillip Tenerelli left Strategic Financial Planning, Inc. for Values Added Financial (registered 2025-01-13)Dec 31, 2024 · Advisor changed firm · fact
- Joshua David Morris left Strategic Financial Planning, Inc. for Range Advisory, Llc (registered 2024-11-04)Oct 25, 2024 · Advisor changed firm · fact
- Strategic Financial Planning, Inc. filed its initial SEC registration (Form ADV)Dec 18, 2020 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/STRATEGIC-FINANCIAL-PLANNINGreportedpublic record, Form ADV, Sep 17, 2026
- Website
- STRATEGICFP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 972-403-1234reportedpublic record, Form ADV, Mar 31, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026