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.
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Former SEC-registered adviser
A•••••• F•••••••• P•••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Mar 11, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• C•••• O•••••• | Omaha, Ne | Oct 19, 2020 | 39 y | 2 |
Advisor movement
Left, latest
- W•••••• C•••• O•••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- M•••••• D••••• B••••••• to C••• L••Nov 3, 2020 · Other
- S••• C••••••••• W••••• to C••• L••Nov 3, 2020 · Other
- A••••• J••• G••••• to C••• L••Nov 3, 2020 · Other
- T••••• R••••• G•••••• to D••• I••••••••• R••••••• A•• M••••••••• I•••Jul 6, 2016 · Other
- M•••••• S•••• C••••• to F•••••••• M••••••••• N•••••• I••Nov 13, 2008 · Other
Joined, latest
- S••• C••••••••• W••••• from L•• F•••••••• L••Oct 24, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• J••• G••••• from L•• F•••••••• L••Oct 23, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• D••••• B••••••• from L•• F•••••••• L••Dec 10, 2009 · Affiliated broker-dealer or bank to a state-registered adviser
- T••••• R••••• G•••••• from V••• I••••••••• M••••••••• C•• L••Dec 10, 2009 · Other
- M•••••• S•••• C••••• from L•• F•••••••• L••Jun 2, 2004 · Other
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.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- W•••••• C•••• O•••••• left A•••••• F•••••••• P•••••••• I••• for L•• F•••••••• L•• (registered 1998-09-11)Dec 31, 2022 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/applied-financial-planning-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- appliedfinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-929-7420reportedpublic record, Form ADV, Mar 11, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026