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

Life Plan Financial Advisory Group, LLC

Former SEC-registered adviserRochester Hills, MichiganCRD 131396SEC 801-113343IAPD
Legal name Lifeplan Financial Advisory Group, LLC
Latest filing Mar 7, 2023
First filing on the tape Feb 9, 2012 · 14 filings
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$157M as of Mar 2, 2023
Feb 9, 2012$58.7M then
HNW client RAUM$87.8M as of Mar 2, 2023
Mar 29, 2019$36.0M then
State-registered IARs (5.B.3)3 as of Mar 2, 2023
Feb 9, 20120 then
Employees (5.A)3 as of Mar 2, 2023
Mar 29, 20192 then
Private funds: no history
RAUM +6.9% over the last fiscal year+6.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 7, 2023; every figure names its basis
RAUM per advisor
$52.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$242,653derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$87.8M56%
  • Individuals$69.7M44%
Individual clients
207reported
HNW clients
53reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
649reported
Financial planning clients
1-10reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Allen Keith Barr · Managing Membercontrol
      since 05/2004 · owns 50% to 75%
    • S. Catherine Gearig · Managing Member And Chief Compliance Officercontrol
      since 01/2013 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Rochester Hills, Mi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 567 to 649
      May 11, 2022 to Mar 2, 2023
    • HNW clients · 55 to 53
      May 11, 2022 to Mar 2, 2023
    • Individual clients · 188 to 207
      May 11, 2022 to Mar 2, 2023
    • Financial planning clients · 11-25 to 1-10
      May 11, 2022 to Mar 2, 2023
    • Discretionary RAUM · $147M to $157M
      May 11, 2022 to Mar 2, 2023
    • HNW RAUM · $86.5M to $87.8M
      May 11, 2022 to Mar 2, 2023
    • Individual RAUM · $60.9M to $69.7M
      May 11, 2022 to Mar 2, 2023
    • RAUM · $147M to $157M
      May 11, 2022 to Mar 2, 2023
    • Accounts · 647 to 567
      May 12, 2021 to Mar 29, 2022
    • HNW clients · 45 to 55
      May 12, 2021 to Mar 29, 2022
    • Individual clients · 195 to 188
      May 12, 2021 to Mar 29, 2022
    • Financial planning clients · 1-10 to 11-25
      May 12, 2021 to Mar 29, 2022
    • Discretionary RAUM · $149M to $147M
      May 12, 2021 to Mar 29, 2022
    • HNW RAUM · $81.6M to $86.5M
      May 12, 2021 to Mar 29, 2022
    • Individual RAUM · $67.2M to $60.9M
      May 12, 2021 to Mar 29, 2022
    • RAUM · $149M to $147M
      May 12, 2021 to Mar 29, 2022
    • Advisory employees · 2 to 3
      Mar 30, 2021 to May 12, 2021
    • Employees · 2 to 3
      Mar 30, 2021 to May 12, 2021
    • State-registered IARs · 2 to 3
      Mar 30, 2021 to May 12, 2021
    • HNW clients · 38 to 45
      Jun 25, 2020 to Mar 30, 2021
    • Individual clients · 187 to 195
      Jun 25, 2020 to Mar 30, 2021
    • Discretionary RAUM · $130M to $149M
      Jun 25, 2020 to Mar 30, 2021
    • HNW RAUM · $64.4M to $81.6M
      Jun 25, 2020 to Mar 30, 2021
    • Individual RAUM · $65.2M to $67.2M
      Jun 25, 2020 to Mar 30, 2021
    • RAUM · $130M to $149M
      Jun 25, 2020 to Mar 30, 2021
    • Accounts · 635 to 647
      Mar 29, 2019 to Mar 19, 2020
    • HNW clients · 29 to 38
      Mar 29, 2019 to Mar 19, 2020
    • Individual clients · 153 to 187
      Mar 29, 2019 to Mar 19, 2020
    • Discretionary RAUM · $102M to $130M
      Mar 29, 2019 to Mar 19, 2020
    • HNW RAUM · $36.0M to $64.4M
      Mar 29, 2019 to Mar 19, 2020
    • Individual RAUM · $66.0M to $65.2M
      Mar 29, 2019 to Mar 19, 2020
    • RAUM · $102M to $130M
      Mar 29, 2019 to Mar 19, 2020
    • Accounts · 623 to 635
      May 1, 2018 to Mar 29, 2019
    • HNW clients · 21 to 29
      May 1, 2018 to Mar 29, 2019
    • Individual clients · 201 to 153
      May 1, 2018 to Mar 29, 2019
    • Employees · 3 to 2
      May 1, 2018 to Mar 29, 2019
    • Discretionary RAUM · $108M to $102M
      May 1, 2018 to Mar 29, 2019
    • HNW RAUM · $35.1M to $36.0M
      May 1, 2018 to Mar 29, 2019
    • Individual RAUM · $73.4M to $66.0M
      May 1, 2018 to Mar 29, 2019
    • RAUM · $108M to $102M
      May 1, 2018 to Mar 29, 2019
    Signals
    5 dated events
    • Keith Allen Barr left Life Plan Financial Advisory Group, Llc for Buckingham Strategic Wealth, Llc (registered 2023-12-13)
      Dec 13, 2023 · Advisor changed firm · fact
    • Jeffrey Patrick Palleschi left Life Plan Financial Advisory Group, Llc for Buckingham Strategic Wealth, Llc (registered 2023-12-13)
      Dec 13, 2023 · Advisor changed firm · fact
    • Catherine S. Gearig left Life Plan Financial Advisory Group, Llc for Buckingham Strategic Wealth, Llc (registered 2023-12-13)
      Dec 13, 2023 · Advisor changed firm · fact
    • Life Plan Financial Advisory Group, LLC's advisors moved to Buckingham Strategic Wealth, LLC (Rochester Hills, MI): 3 of 3 registered, on the same day
      Dec 13, 2023 · Firm absorbed (people side) · derived
    • Life Plan Financial Advisory Group, Llc filed its initial SEC registration (Form ADV)
      May 1, 2018 · 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.
    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