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
Financial Planning Concepts Of America, Inc.
Latest filing Mar 28, 2025
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since May 11, 2005
RAUM
$155M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
97%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$155M as of Mar 28, 2025
Mar 30, 2012$58.1M then
HNW client RAUM$75.3M as of Mar 28, 2025
Mar 21, 2018$4.0M then
State-registered IARs (5.B.3)1 as of Mar 28, 2025
Mar 30, 20120 then
Employees (5.A)2 as of Mar 28, 2025
Mar 27, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+3.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 321derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $484,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +84%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.3M48%
- High-net-worth individuals$75.3M48%
- Pension and profit-sharing plans$4.8M3.1%
- Individual clients
- 279reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 321reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- Joseph R Marchese to World Investment Advisors, LLCAug 1, 2025 · Other
Joined, latest
- Joseph R Marchese from Nathan & Lewis Securities, Inc.Oct 9, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Richard Eknoian · Chief Executive Officer, Directorcontrolsince 02/2019 · owns less than 5%
- Richard Joseph Marchese · President/Chief Compliance Officercontrolsince 06/1989 · owns less than 5%
- Alexander Philip Nisbet · Chief Operations Officer, Directorcontrolsince 02/2019 · owns less than 5%
- Richard Neal Aton · Managercontrolsince 11/2021 · owns F of Cb Clockwork Parent LLC
- Woosung Michael Choe · Managercontrolsince 04/2020 · owns F of Cb Clockwork Parent LLC
- James Thomas Ealy · Managercontrolsince 09/2020 · owns F of Cb Clockwork Parent LLC
- Thomas Richard Eknoian · Managercontrolsince 04/2020 · owns F of Cb Clockwork Parent LLC
- L David Katz · Managercontrolsince 04/2020 · owns F of Cb Clockwork Parent LLC
- Alexander Philip Nisbet · Managercontrolsince 04/2020 · owns F of Cb Clockwork Parent LLC
- Mutian Rui · Managercontrolsince 04/2021 · owns F of Cb Clockwork Parent LLC
- David Sheffer · Managercontrolsince 04/2020 · owns F of Cb Clockwork Parent LLC
Entity owners
- Wia Holdings, LLC · Direct Owner Of Financial Planning Concepts Of Americadirect · owns 75% or more
- Cb Clockwork Midco LLC · Memberindirect · owns 75% or more of World Associates Holdings, LLC
- Cb Clockwork Parent LLC · Memberindirect · owns 75% or more of Cb Clockwork Midco LLC
- World Associates Holdings, LLC · Memberindirect · owns 75% or more of Wia Holdings, LLC
Related persons
Schedule D 7.A
- Goldman Sachs & Co. LLCbroker-dealerinvestment adviserbanktrust companyCPO or CTAyRAUM $134B
- World Investment Advisors, LLCinvestment advisernRAUM $72B
- Pensionmark Securities, LLCbroker-dealern
- Scotts American, LLCreal estaten
- Sesame Insurance, LLCreal estaten
- World Advisory Servicesbroker-dealerinvestment adviserinsuranceLP sponsorreal estatenRAUM $1.7B
- Tric Agency Corp.real estaten
- World Insurance Associates, LLCreal estatey
- World Insurance Programs, LLCreal estaten
Advisers that list Financial Planning Concepts Of America, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Staten Island, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 254 to 321Jan 9, 2025 to Mar 28, 2025
- HNW clients · 34 to 42Jan 9, 2025 to Mar 28, 2025
- Individual clients · 140 to 279Jan 9, 2025 to Mar 28, 2025
- Discretionary RAUM · $126M to $138MJan 9, 2025 to Mar 28, 2025
- HNW RAUM · $84.8M to $75.3MJan 9, 2025 to Mar 28, 2025
- Individual RAUM · $40.9M to $75.3MJan 9, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $17.5MJan 9, 2025 to Mar 28, 2025
- Pension RAUM · unset to 4817214.0Jan 9, 2025 to Mar 28, 2025
- RAUM · $126M to $155MJan 9, 2025 to Mar 28, 2025
- Accounts · 250 to 254Nov 27, 2023 to Mar 21, 2024
- HNW clients · 33 to 34Nov 27, 2023 to Mar 21, 2024
- Financial planning clients · 1-10 to 0Nov 27, 2023 to Mar 21, 2024
- State-registered IARs · 0 to 1Nov 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $110M to $126MNov 27, 2023 to Mar 21, 2024
- HNW RAUM · $68.5M to $84.8MNov 27, 2023 to Mar 21, 2024
- Individual RAUM · $41.1M to $40.9MNov 27, 2023 to Mar 21, 2024
- RAUM · $110M to $126MNov 27, 2023 to Mar 21, 2024
- Related bank · false to trueNov 1, 2023 to Nov 27, 2023
- Related insurance company · false to trueApr 28, 2023 to Nov 1, 2023
- HQ city · STATEN ISLAND to WEST PALM BEACHMar 31, 2023 to Apr 28, 2023
- HQ state · NY to FLMar 31, 2023 to Apr 28, 2023
- Accounts · 340 to 250Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 2 to 1Mar 31, 2022 to Mar 31, 2023
- HNW clients · unset to 33.0Mar 31, 2022 to Mar 31, 2023
- Individual clients · 130 to 140Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 5.0 to unsetMar 31, 2022 to Mar 31, 2023
- Employees · 3 to 2Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $130M to $110MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $10.0M to $68.5MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $131M to $41.1MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $11.0M to $0Mar 31, 2022 to Mar 31, 2023
- Pension RAUM · 0.0 to unsetMar 31, 2022 to Mar 31, 2023
- RAUM · $141M to $110MMar 31, 2022 to Mar 31, 2023
- Related broker-dealer · false to trueMar 31, 2022 to Mar 31, 2023
- Accounts · 337 to 340Mar 29, 2021 to Mar 31, 2022
- Individual clients · 114 to 130Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $111M to $130MMar 29, 2021 to Mar 31, 2022
- Individual RAUM · $110M to $131MMar 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $9.0M to $11.0MMar 29, 2021 to Mar 31, 2022
- RAUM · $120M to $141MMar 29, 2021 to Mar 31, 2022
Signals
16 dated events
- Financial Planning Concepts Of America, Inc. no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $155.5M)Sep 2, 2025 · Left the SEC roster · derived
- Joseph R Marchese left Financial Planning Concepts Of America, Inc. for World Investment Advisors, Llc (registered 2025-04-29)Aug 1, 2025 · Advisor changed firm · fact
- James Thomas Ealy (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 31, 2022 · Control person joined · fact
- Richard Neal Aton (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 31, 2022 · Control person joined · fact
- Mutian Rui (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 31, 2022 · Control person joined · fact
- Aaron Joshua Klevens (Manager) no longer on Schedule A of Financial Planning Concepts Of America, Inc. (listed 2021-03-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Alexander Philip Nisbet (Chief Operations Officer, Director) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- Thomas Richard Eknoian (Chief Executive Officer, Director) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- Woosung Michael Choe (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- Aaron Joshua Klevens (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- L David Katz (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- David Sheffer (Manager) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Jun 5, 2020 · Control person joined · fact
- Martin John Eknoian (Member Of Indirect Owner Jc Ekno Investment, Llc) no longer on Schedule A of Financial Planning Concepts Of America, Inc. (listed 2019-03-30, absent 2019-04-03)Apr 3, 2019 · Control person left · inference
- Alexander Philip Nisbet (Member Of Indirect Owner Riverview Investments Ltd Liability Co.) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 30, 2019 · Control person joined · fact
- Thomas Richard Eknoian (Member Of Indirect Owner Eknoian Consulting, Llc) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 30, 2019 · Control person joined · fact
- Martin John Eknoian (Member Of Indirect Owner Jc Ekno Investment, Llc) appeared on Schedule A of Financial Planning Concepts Of America, Inc.Mar 30, 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.
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