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
Financial Plans & Strategies, Inc.
Latest filing Jul 29, 2026
First filing on the tape Jan 19, 2016 · 32 filings
SEC status approved since Jan 27, 2016
RAUM
$611M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$611M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$611M as of Jul 29, 2026
Mar 26, 2017$308M then
HNW client RAUM$403M as of Jul 29, 2026
Mar 20, 2018$152M then
State-registered IARs (5.B.3)5 as of Jul 29, 2026
Mar 26, 20174 then
Employees (5.A)12 as of Jul 29, 2026
Mar 26, 20179 then
Private funds: no history
RAUM +33% over the last fiscal year+12% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 29, 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
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $564,848derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +31%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $40.1M, 69 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$403M66%
- Individuals$208M34%
- Individual clients
- 896reported
- HNW clients
- 185reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,081reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.1M for 69 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Maggie Lynn Meiners | Greenwood, In | Aug 18, 2016 | 13 y | 1 |
| Lara Karmel Desotel | Greenwood, In | Oct 6, 2017 | 14 y | 1 |
| Bauer W SchmeltzCertified Financial Planner | Greenwood, In | Oct 10, 2020 | 10 y | 0 |
| Maxwell Alexander Bigler | Greenwood, In | Nov 30, 2023 | 13 y | 0 |
| Grant T Nailor | Greenwood, In | Jan 9, 2025 | 12 y | 0 |
| Seth Timothy Raymond | Greenwood, In | Jul 17, 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 headcount0 left over 36 months
Left, latest
- Salvador Antonio Perez to Totem Wealth Management LLCMay 24, 2023 · RIA to a state-registered adviser
- Evan James Stout to Choreo, LLCMay 24, 2023 · RIA to RIA
- Angela R Sodrel to LPL Financial LLCJun 23, 2020 · RIA to affiliated broker-dealer or bank
- Patrick Myers Sullivan to Foundational Financial Advisors, LLCJan 3, 2018 · Other
- Raymond W Mark to Invest Financial CorporationNov 10, 2015 · Other
Joined, latest
- Lara Karmel Desotel from Invest Financial CorporationOct 6, 2017 · Other
- Maggie Lynn Meiners from Vanguard Advisers, Inc.Aug 18, 2016 · Other
- Patrick Myers Sullivan from Invest Financial CorporationAug 16, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Invest Financial CorporationDec 18, 2015 · Greenwood, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Karmel Lara Desotel · Chief Compliance Officercontrolsince 01/2017 · owns 10% to 25%
- Joseph Michael Meiners · Ceocontrolsince 05/1982 · owns 50% to 75%
- Lynn Maggie Meiners · Coosince 01/2017 · owns 10% to 25%
- W Bauer Schmeltz · Membersince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- Financial Planning Investments Increal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood, In · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 29, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-06, yes on the filing of 2026-07-29peers: independent wealth managers, $500M to $1B (1,483)
- HNW share shiftChange between filings · filing Mar 6, 2026HNW share of RAUM moved from 48.0% to 66.0% between the annual amendments of 2025-03-21 and 2026-03-06peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Assets in custody · unset to 40081965.0Mar 6, 2026 to Jul 29, 2026
- Custody of client assets · false to trueMar 6, 2026 to Jul 29, 2026
- Accounts · 827 to 1,081Jan 6, 2026 to Mar 6, 2026
- Advisory employees · 4 to 5Jan 6, 2026 to Mar 6, 2026
- HNW clients · 84 to 185Jan 6, 2026 to Mar 6, 2026
- Individual clients · 743 to 896Jan 6, 2026 to Mar 6, 2026
- Employees · 5 to 12Jan 6, 2026 to Mar 6, 2026
- State-registered IARs · 4 to 5Jan 6, 2026 to Mar 6, 2026
- Discretionary RAUM · $460M to $601MJan 6, 2026 to Mar 6, 2026
- HNW RAUM · $221M to $403MJan 6, 2026 to Mar 6, 2026
- Individual RAUM · $239M to $208MJan 6, 2026 to Mar 6, 2026
- Non-discretionary RAUM · $0 to $9.2MJan 6, 2026 to Mar 6, 2026
- RAUM · $460M to $611MJan 6, 2026 to Mar 6, 2026
- Accounts · 2,777 to 827Feb 13, 2025 to Mar 21, 2025
- HNW clients · 246 to 84Feb 13, 2025 to Mar 21, 2025
- Individual clients · 1,086 to 743Feb 13, 2025 to Mar 21, 2025
- Financial planning clients · More than 500 to More than 500Feb 13, 2025 to Mar 21, 2025
- Discretionary RAUM · $543M to $460MFeb 13, 2025 to Mar 21, 2025
- HNW RAUM · $358M to $221MFeb 13, 2025 to Mar 21, 2025
- Individual RAUM · $185M to $239MFeb 13, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $6.5M to $0Feb 13, 2025 to Mar 21, 2025
- RAUM · $550M to $460MFeb 13, 2025 to Mar 21, 2025
- Commission compensation · false to trueJun 27, 2024 to Jul 9, 2024
- Accounts · 1,123 to 2,777May 24, 2023 to Mar 18, 2024
- Advisory employees · 5 to 4May 24, 2023 to Mar 18, 2024
- HNW clients · 131 to 246May 24, 2023 to Mar 18, 2024
- Individual clients · 992 to 1,086May 24, 2023 to Mar 18, 2024
- Employees · 6 to 5May 24, 2023 to Mar 18, 2024
- State-registered IARs · 5 to 4May 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $426M to $543MMay 24, 2023 to Mar 18, 2024
- HNW RAUM · $232M to $358MMay 24, 2023 to Mar 18, 2024
- Individual RAUM · $194M to $185MMay 24, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $5.4M to $6.5MMay 24, 2023 to Mar 18, 2024
- RAUM · $431M to $550MMay 24, 2023 to Mar 18, 2024
- Accounts · 1,686 to 1,123Dec 8, 2022 to Mar 17, 2023
- HNW clients · 153 to 131Dec 8, 2022 to Mar 17, 2023
- Individual clients · 1,529 to 992Dec 8, 2022 to Mar 17, 2023
- Discretionary RAUM · $609M to $426MDec 8, 2022 to Mar 17, 2023
- HNW RAUM · $278M to $232MDec 8, 2022 to Mar 17, 2023
- Individual RAUM · $331M to $194MDec 8, 2022 to Mar 17, 2023
Signals
7 dated events
- Financial Plans & Strategies, Inc. reported RAUM $610.6M, up 33% from $460.5M (2026-01-06 to 2026-03-06)Mar 6, 2026 · RAUM change · derived
- Financial Plans & Strategies, Inc. reported RAUM $549.9M, up 27% from $431.3M (2023-05-24 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- Salvador Antonio Perez left Financial Plans & Strategies, Inc. for Totem Wealth Management Llc (registered 2023-08-29)May 24, 2023 · Advisor changed firm · fact
- Evan James Stout left Financial Plans & Strategies, Inc. for Choreo, Llc (registered 2023-10-19)May 24, 2023 · Advisor changed firm · fact
- Financial Plans & Strategies, Inc. reported RAUM $431.3M, down 30% from $620.3M (2022-12-08 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- Financial Plans & Strategies, Inc. reported RAUM $411.5M, up 33% from $308.5M (2017-12-14 to 2018-03-20)Mar 20, 2018 · RAUM change · derived
- Financial Plans & Strategies, Inc. filed its initial SEC registration (Form ADV)Jan 19, 2016 · 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
- Business email
- fps@finplans.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-882-5981reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-882-7675reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/finplansreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FINPLANS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-882-7675reportedpublic record, Form ADV, Jul 29, 2026
- Contact form
- finplans.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- finplans.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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026