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SEC-registered adviser

A•••• P••••••• A•• F•••••••• S•••••••• I•••

Independent wealth managerSolon, OhioCRD 130842SEC 801-135159websiteIAPD
Latest filing Sep 4, 2026
First filing on the tape Dec 15, 2025 · 6 filings
SEC status approved since Jan 15, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$112M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$113M as of Jun 11, 2026
Dec 15, 2025$109M then
HNW client RAUM$52.6M as of Jun 11, 2026
Dec 15, 2025$51.2M then
State-registered IARs (5.B.3)2 as of Jun 11, 2026
Dec 15, 20252 then
Employees (5.A)5 as of Jun 11, 2026
Dec 15, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 4, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$56.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
109derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$195,075derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$226MreportedItem 5.I
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Individuals$59.2M52%
  • High-net-worth individuals$52.6M47%
  • Pension and profit-sharing plans$960,8590.9%
Individual clients
192reported
HNW clients
26reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
578reported
Financial planning clients
101-250reported
Wrap fee programs
$113M sponsored, $113M managedreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• R•••• S••••••Certified Financial Planner, Chartered Financial ConsultantSolon, OhMay 25, 201810 y0
J••• T••••• G••••••Solon, OhFeb 15, 202417 y1
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Solon, Oh · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · 101-250 to 101-250
    Jun 11, 2026 to Sep 4, 2026
  • Related adviser · false to unset
    Jun 11, 2026 to Sep 4, 2026
  • Related bank · false to unset
    Jun 11, 2026 to Sep 4, 2026
  • Related broker-dealer · false to unset
    Jun 11, 2026 to Sep 4, 2026
  • Related insurance company · false to unset
    Jun 11, 2026 to Sep 4, 2026
  • Succession · false to unset
    Jun 11, 2026 to Sep 4, 2026
  • Accounts · 560 to 578
    Dec 15, 2025 to Feb 25, 2026
  • HNW clients · 25 to 26
    Dec 15, 2025 to Feb 25, 2026
  • Individual clients · 183 to 192
    Dec 15, 2025 to Feb 25, 2026
  • Discretionary RAUM · $109M to $113M
    Dec 15, 2025 to Feb 25, 2026
  • HNW RAUM · $51.2M to $52.6M
    Dec 15, 2025 to Feb 25, 2026
  • Individual RAUM · $56.7M to $59.2M
    Dec 15, 2025 to Feb 25, 2026
  • Pension RAUM · $944,998 to $960,859
    Dec 15, 2025 to Feb 25, 2026
  • RAUM · $109M to $113M
    Dec 15, 2025 to Feb 25, 2026
  • Wrap assets (manager) · $109M to $113M
    Dec 15, 2025 to Feb 25, 2026
  • Wrap assets (sponsor) · $109M to $113M
    Dec 15, 2025 to Feb 25, 2026
Signals
No event on the tape.
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 phone
440-519-0300reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/alpha-plannersreportedpublic record, Form ADV, Sep 21, 2026
Website
A••••PLANNERS.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone
440-519-0300reportedpublic record, Form ADV, Sep 4, 2026
Contact form
a•••••••••.comreportedpublished 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
$56.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026