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
Superior Planning Wealth Management & Family Office
Legal name Superior Planning, LLC
Latest filing Jun 2, 2026
First filing on the tape Sep 16, 2024 · 16 filings
SEC status approved since Oct 17, 2024
RAUM
$350M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$345M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$26.9M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$350M as of Jun 2, 2026
Jan 17, 2025$105M then
HNW client RAUM$216M as of Jun 2, 2026
Jan 17, 2025$79.9M then
State-registered IARs (5.B.3)8 as of Jun 2, 2026
Jan 17, 20255 then
Employees (5.A)12 as of Jun 2, 2026
Jan 17, 202511 then
Private funds: no history
RAUM +82% over the last fiscal yearIARs 7 to 8
Practice profile
derived from the filing of Jun 2, 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
- RAUM per advisor
- $26.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $330,079derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +82%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +55%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $341M, 432 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)
- 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$216M62%
- Individuals$129M37%
- Pension and profit-sharing plans$4.4M1.2%
- Corporations and businesses$424,6880.1%
- Individual clients
- 431reported
- HNW clients
- 78reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 1,059reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $341M for 432 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Zachary David JonesCertified Financial Planner | San Diego, Ca | Sep 20, 2024 | 16 y | 2 |
| Patrick Mylin Bowers | San Diego, Ca | Apr 21, 2026 | 27 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.7% of current headcount2 left over 36 months
Left, latest
- James Francis Thomas to Calton & Associates, Inc.Nov 21, 2025 · RIA to RIA
- James Francis Thomas to Lincoln InvestmentSep 13, 2024 · Other
Joined, latest
- Patrick Mylin Bowers from Planmember Securities CorporationApr 21, 2026 · RIA to RIA
- Zachary David Jones from Raymond James & Associates, Inc.Sep 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- James Francis Thomas from Carmel Capital Partners, LLCSep 20, 2024 · RIA to RIA
- James Francis Thomas from Cincinnati Analysts, IncJun 7, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Joseph Bauers · Chief Executive Officer And Principalcontrolsince 09/2024 · owns 25% to 50%
- Jean Susan Ferrari · Principalcontrolsince 09/2024 · owns less than 5%
- Christian James Gates · Principalcontrolsince 09/2024 · owns 10% to 25%
- Philip Matthew Leighton · Chief Operating Officer And Principalcontrolsince 09/2024 · owns 10% to 25%
- Andrew Constantine Pelos · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- Wesley John Sedberry · Principalcontrolsince 09/2024 · owns 10% to 25%
- Francis James Thomas · Ttee Of The James F. & M. Elizabeth Thomas Revocable Trustsince 09/2024 · owns less than 5%
- Elizabeth M. Thomas · Ttee Of The James F. & M. Elizabeth Thomas Revocable Trustsince 09/2024 · owns less than 5%
Entity owners
- James F. & M. Elizabeth Thomas Revocable Trust · Trustdirect · owns less than 5%
Related persons
Schedule D 7.A
- Blueprint Local LLCinvestment advisernRAUM $253M
- Commonwealth Retirement Investments LLCinvestment advisernRAUM $377M
- Dfn Management LLC.investment advisernRAUM $241M
- Lake Whillans Capital Partners LLCinvestment advisernRAUM $312M
- Wealthcrossinginvestment advisernRAUM $1.5B
- Scenic Management LLCinvestment advisernRAUM $145M
- Solera Capitalinvestment advisernRAUM $39.6M
- Star Asia Managementinvestment advisernRAUM $4.8B
Advisers that list Superior Planning Wealth Management & Family Office as a related person
- 123907 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 13 | 5 | 1 | ||
| La Jolla, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 6, 2026individual and HNW clients (Item 5.D) moved from 329.0 to 509.0 (+55.0%) between the annual amendments of 2025-04-10 and 2026-04-06; the peer median change was +3.0% (3310 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 97% percentile
- discretionary share shiftChange between filings · filing Apr 6, 2026discretionary share of RAUM moved from 31.0% to 100.0% between the annual amendments of 2025-04-10 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $192,065,972 to $349,553,158 (+82.0%) between the annual amendments of 2025-04-10 and 2026-04-06; the peer median change was +15.0% (4551 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 810 to 1,059Dec 16, 2025 to Mar 23, 2026
- Advisory employees · 7 to 8Dec 16, 2025 to Mar 23, 2026
- Advisory activities · 4 to 3Dec 16, 2025 to Mar 23, 2026
- HNW clients · 205 to 78Dec 16, 2025 to Mar 23, 2026
- Individual clients · 124 to 431Dec 16, 2025 to Mar 23, 2026
- Pension plan clients · 4 to 6Dec 16, 2025 to Mar 23, 2026
- Assets in custody · unset to 340741476.0Dec 16, 2025 to Mar 23, 2026
- Custody of client assets · false to trueDec 16, 2025 to Mar 23, 2026
- Insurance-licensed employees · 4 to 7Dec 16, 2025 to Mar 23, 2026
- Financial planning clients · 26-50 to 11-25Dec 16, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 8Dec 16, 2025 to Mar 23, 2026
- Discretionary RAUM · $58.6M to $350MDec 16, 2025 to Mar 23, 2026
- HNW RAUM · $109M to $216MDec 16, 2025 to Mar 23, 2026
- Individual RAUM · $81.0M to $129MDec 16, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $133M to $0Dec 16, 2025 to Mar 23, 2026
- Pension RAUM · $1.9M to $4.4MDec 16, 2025 to Mar 23, 2026
- RAUM · $192M to $350MDec 16, 2025 to Mar 23, 2026
- Related adviser · true to falseDec 16, 2025 to Mar 23, 2026
- Business name · SUPERIOR PLANNING, LLC to SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICEApr 10, 2025 to May 30, 2025
- Financial planning clients · 26-50 to 26-50Apr 10, 2025 to May 30, 2025
- Accounts · 295 to 810Mar 3, 2025 to Apr 10, 2025
- Advisory employees · 5 to 7Mar 3, 2025 to Apr 10, 2025
- BD registered reps · 1 to 5Mar 3, 2025 to Apr 10, 2025
- Charity clients · 2.0 to unsetMar 3, 2025 to Apr 10, 2025
- Corporate clients · unset to 1.0Mar 3, 2025 to Apr 10, 2025
- HNW clients · 27 to 205Mar 3, 2025 to Apr 10, 2025
- Individual clients · 57 to 124Mar 3, 2025 to Apr 10, 2025
- Pension plan clients · 10 to 4Mar 3, 2025 to Apr 10, 2025
- Employees · 11 to 12Mar 3, 2025 to Apr 10, 2025
- Insurance-licensed employees · 3 to 4Mar 3, 2025 to Apr 10, 2025
- State-registered IARs · 5 to 7Mar 3, 2025 to Apr 10, 2025
- Discretionary RAUM · $49.4M to $58.6MMar 3, 2025 to Apr 10, 2025
- HNW RAUM · $79.9M to $109MMar 3, 2025 to Apr 10, 2025
- Individual RAUM · $22.1M to $81.0MMar 3, 2025 to Apr 10, 2025
- Non-discretionary RAUM · $56.0M to $133MMar 3, 2025 to Apr 10, 2025
- Pension RAUM · $2.9M to $1.9MMar 3, 2025 to Apr 10, 2025
- RAUM · $105M to $192MMar 3, 2025 to Apr 10, 2025
- Related adviser · false to trueSep 18, 2024 to Sep 30, 2024
- Accounts · 0 to 295Sep 16, 2024 to Sep 17, 2024
- Business name · SUPERIOR PLANNING, INC to SUPERIOR PLANNING, LLCSep 16, 2024 to Sep 17, 2024
Signals
6 dated events
- Superior Planning Wealth Management & Family Office reported RAUM $349.6M, up 82% from $192.1M (2025-12-16 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- James Francis Thomas left Superior Planning Wealth Management & Family Office for Calton & Associates, Inc. (registered 2025-01-27)Nov 21, 2025 · Advisor changed firm · fact
- Francis James Thomas (Trustee) appeared on Schedule A of Superior Planning Wealth Management & Family OfficeSep 30, 2024 · Control person joined · fact
- Elizabeth M. Thomas (Trustee) appeared on Schedule A of Superior Planning Wealth Management & Family OfficeSep 30, 2024 · Control person joined · fact
- Superior Planning, Inc filed its initial SEC registration (Form ADV)Sep 16, 2024 · First SEC registration · fact
- James Francis Thomas left Superior Planning Wealth Management & Family Office for Lincoln Investment (registered 2012-06-01)Sep 13, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Superior Planning Wealth Management & Family Office · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 559-400-1977reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 619-260-0155reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-414-3137reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- superiorplanning.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-546-1046reportedpublic record, Form ADV, Jun 2, 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
- $26.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026