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.
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SEC-registered adviser
T•• P••••••• C•••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Dec 13, 2011 · 47 filings
SEC status approved since Apr 12, 2002
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
28
12 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$1.4B as of Mar 17, 2026
Mar 30, 2012$194M then
HNW client RAUM$984M as of Mar 17, 2026
Mar 27, 2018$484M then
State-registered IARs (5.B.3)9 as of Mar 17, 2026
Mar 28, 20134 then
Employees (5.A)28 as of Mar 17, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 17, 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
- p••••••• 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $452,460derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $13.4M, 35 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$984M72%
- Individuals$332M24%
- Pension and profit-sharing plans$46.4M3.4%
- Corporations and businesses$9.5M0.7%
- Individual clients
- 570reported
- HNW clients
- 325reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 3,032reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.4M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| E••• H••••••• K•••Certified Financial Planner | Moline, Il | Dec 13, 2004 | 26 y | 2 |
| M•••••• A•••• S••••••••Certified Financial Planner | Moline, Il | Jun 24, 2010 | 23 y | 1 |
| A••••• C•••••• S••••••••Certified Financial Planner | Moline, Il | Nov 22, 2010 | 16 y | 1 |
| M•••••• T••••• K••••Certified Financial Planner | Moline, Il | Jul 24, 2014 | 13 y | 0 |
| J••••• J••••• S•••••••Certified Financial Planner | St. Louis Park, Mn | Aug 28, 2014 | 22 y | 0 |
| M•••••• A•••••• B••••••Certified Financial Planner | Moline, Il | Aug 10, 2015 | 27 y | 1 |
| M••••••• L••••• M••••Certified Financial Planner | Chicago, Il | Sep 16, 2015 | 28 y | 1 |
| H••• J••• B••••••••Certified Financial Planner | Moline, Il | Sep 8, 2017 | 25 y | 4 |
| C••••••• M•••••• S•••••••Certified Financial Planner | Moline, Il | Dec 17, 2025 | 12 y | 0 |
| S•••• R•••••• S•••••••Certified Financial Planner | Chicago, Il | Aug 19, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- A••••• E•••• B••••• to T•• T••••• F•••••••• P•••••••Oct 18, 2024 · RIA to a state-registered adviser
- A•••• W•••••• F••••••••• to R••••• F••••••••May 31, 2022 · RIA to a state-registered adviser
- A••••• J••• K•••••• to F••••Jul 20, 2020 · RIA to RIA
- S•••• M•••••• B•••••••• to S••••••••• I••••••••• A•••••••• I•••Dec 7, 2005 · Other
Joined, latest
- A••••• E•••• B••••• from A••••• A•• P••••••• S•••••••Nov 20, 2020 · Affiliated broker-dealer or bank to independent RIA
- H••• J••• B•••••••• from U•••••••• F•••••••• P•••••••• L••Sep 8, 2017 · Other
- M••••••• L••••• M•••• from A••••• W••••• M••••••••• R••••••••• L••Sep 16, 2015 · Other
- M•••••• A•••••• B•••••• from C••••••••• W••••• A•••••••• I•••Aug 10, 2015 · Other
- A••••• C•••••• S•••••••• from T•• P••••••• C••••• A•••••••• I•••Nov 22, 2010 · Other
- S•••• M•••••• B•••••••• from C•••••••• I••••••••• R•••••••• I•••Mar 31, 2005 · Other
- E••• H••••••• K••• from A••••••••• F•••••••• S•••••••• L••Dec 13, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• E•••• H••••••• · Ceo, President, Shareholdercontrolsince 06/2008 · owns 10% to 25%
- L••• B••••• J••••• · Chief Compliance Officer, Shareholdercontrolsince 01/2025 · owns less than 5%
- M••••• M•••••••• L••••• · Treasurer, Shareholdercontrolsince 09/2015 · owns 10% to 25%
- S••••••••• M••••••• A•••• · Vice President, Shareholdercontrolsince 06/2008 · owns 10% to 25%
- T••••••• A••• E•••••••• · Chief Financial Officer, Shareholdercontrolsince 01/2022 · owns less than 5%
- B••••• R•••••• M••••• · Shareholdersince 01/2021 · owns 5% to 10%
- B••••••••• H•••• J••• · Shareholdersince 09/2017 · owns 10% to 25%
- B••••••• M••••••• A•••••• · Shareholdersince 09/2017 · owns 10% to 25%
- K••••• M••••••• T••••• · Shareholdersince 01/2021 · owns 5% to 10%
- M•••••• M••••••• J••••• · Operations Manager, Shareholdersince 01/2022 · owns 5% to 10%
- S•••••••• J•••••• J••••• · Shareholdersince 01/2014 · owns 10% to 25%
- S••••••••• A•••••• C•••••• · Secretary, Shareholdersince 12/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Moline, Il · principal | 10 | 2 | 0 | ||
| Chicago, Il | 3 | 2 | 0 | ||
| St Louis Park, Mn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
- Anchorage, AK1 employees
- Fresno, CA1 employees
- Iowa City, IA1 employees
- Minneapolis, MN1 employees
- New Orleans, LA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 17, 2026L••• B••••• J••••• (CHIEF COMPLIANCE OFFICER, SHAREHOLDER) appeared on Schedule A between the filings of 2023-02-21 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,335 to 3,032Oct 29, 2025 to Mar 17, 2026
- Advisory employees · 10 to 12Oct 29, 2025 to Mar 17, 2026
- HNW clients · 314 to 325Oct 29, 2025 to Mar 17, 2026
- Individual clients · 584 to 570Oct 29, 2025 to Mar 17, 2026
- Pension plan clients · 18 to 10Oct 29, 2025 to Mar 17, 2026
- Assets in custody · $12.4M to $13.4MOct 29, 2025 to Mar 17, 2026
- Employees · 26 to 28Oct 29, 2025 to Mar 17, 2026
- State-registered IARs · 8 to 9Oct 29, 2025 to Mar 17, 2026
- Discretionary RAUM · $1.2B to $1.3BOct 29, 2025 to Mar 17, 2026
- HNW RAUM · $845M to $984MOct 29, 2025 to Mar 17, 2026
- Individual RAUM · $290M to $332MOct 29, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $27.2M to $24.5MOct 29, 2025 to Mar 17, 2026
- Pension RAUM · $44.2M to $46.4MOct 29, 2025 to Mar 17, 2026
- RAUM · $1.2B to $1.4BOct 29, 2025 to Mar 17, 2026
- Accounts · 3,303 to 3,335Oct 18, 2024 to Mar 19, 2025
- HNW clients · 306 to 314Oct 18, 2024 to Mar 19, 2025
- Individual clients · 596 to 584Oct 18, 2024 to Mar 19, 2025
- Pension plan clients · 19 to 18Oct 18, 2024 to Mar 19, 2025
- Assets in custody · $11.9M to $12.4MOct 18, 2024 to Mar 19, 2025
- Employees · 27 to 26Oct 18, 2024 to Mar 19, 2025
- Financial planning clients · More than 500 to More than 500Oct 18, 2024 to Mar 19, 2025
- State-registered IARs · 9 to 8Oct 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.1B to $1.2BOct 18, 2024 to Mar 19, 2025
- HNW RAUM · $799M to $845MOct 18, 2024 to Mar 19, 2025
- Individual RAUM · $256M to $290MOct 18, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $27.7M to $27.2MOct 18, 2024 to Mar 19, 2025
- Pension RAUM · $25.4M to $44.2MOct 18, 2024 to Mar 19, 2025
- RAUM · $1.1B to $1.2BOct 18, 2024 to Mar 19, 2025
- Other offices · 7 to 6Sep 16, 2024 to Oct 18, 2024
- Accounts · 3,216 to 3,303Dec 12, 2023 to Jan 23, 2024
- Advisory employees · 13 to 10Dec 12, 2023 to Jan 23, 2024
- Corporate clients · 6 to 7Dec 12, 2023 to Jan 23, 2024
- HNW clients · 309 to 306Dec 12, 2023 to Jan 23, 2024
- Individual clients · 606 to 596Dec 12, 2023 to Jan 23, 2024
- Pension plan clients · 20 to 19Dec 12, 2023 to Jan 23, 2024
- Assets in custody · $9.5M to $11.9MDec 12, 2023 to Jan 23, 2024
- Employees · 25 to 27Dec 12, 2023 to Jan 23, 2024
- Discretionary RAUM · $917M to $1.1BDec 12, 2023 to Jan 23, 2024
- HNW RAUM · $705M to $799MDec 12, 2023 to Jan 23, 2024
- Individual RAUM · $217M to $256MDec 12, 2023 to Jan 23, 2024
Signals
4 dated events
- A••••• E•••• B••••• left T•• P••••••• C•••••• I••• for T•• T••••• F•••••••• P••••••• (registered 2024-10-08)Oct 18, 2024 · Advisor changed firm · fact
- A•••• W•••••• F••••••••• left T•• P••••••• C•••••• I••• for R••••• F•••••••• (registered 2022-10-20)May 31, 2022 · Advisor changed firm · fact
- J••••• M•••••• M••••• (Operations Manager) appeared on Schedule A of T•• P••••••• C•••••• I•••Mar 23, 2022 · Control person joined · fact
- Floyd M••••• Kurtz (Partner, Ceo) no longer on Schedule A of T•• P••••••• C•••••• I••• (listed 2020-11-18, absent 2021-01-20)Jan 20, 2021 · 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
- clientservices@theplanningcenter.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-333-6986reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/1065471/26reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/the-planning-center-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- THEP•••••••C•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 309-797-4030reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- THEPLANNINGCENTER.COM/teamreportedpublished by the firm, firm site, Sep 17, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026