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
Investment Management & Planning LLC
Latest filing Mar 25, 2026
First filing on the tape Mar 25, 2016 · 17 filings
SEC status approved since Apr 4, 2016
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$235M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$239M as of Mar 25, 2026
Mar 22, 2017$120M then
HNW client RAUM$200M as of Mar 25, 2026
Mar 29, 2018$70.5M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 22, 20173 then
Employees (5.A)3 as of Mar 25, 2026
Mar 22, 20174 then
Private funds: no history
RAUM +16% over the last fiscal year+8.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $637,312derivedHNW RAUM over HNW clients
- Average account
- $326,742derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +62%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $205MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M84%
- Individuals$34.7M15%
- Pension and profit-sharing plans$3.2M1.4%
- Corporations and businesses$751,2220.3%
- Individual clients
- 189reported
- HNW clients
- 314reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 731reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Howard Calvert RichardsonCertified Financial Planner | Greenville, De | Feb 25, 2002 | 34 y | 0 |
| John Michael AboodCertified Financial Planner | Greenville, De | Jan 22, 2010 | 31 y | 4 |
| Jeffrey H. MacdonaldCertified Financial Planner, Chartered Financial Consultant | Fort Myers, Fl | May 29, 2014 | 18 y | 1 |
| Stephen Maxwell Lambert | Middletown, De | Jun 30, 2026 | 10 y | 0 |
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
Left, latest
- Jie Huang to Fidelity Personal And Workplace AdvisorsMay 18, 2020 · RIA to affiliated broker-dealer or bank
- Michael Joseph Sicuranza to Milestone Wealth Advisors, Inc.Apr 15, 2009 · Other
- Lisa M Lamarche to Milestone Wealth Advisors, Inc.Apr 15, 2009 · Other
Joined, latest
- Jeffrey H. Macdonald from Wells Fargo AdvisorsMay 29, 2014 · Other
- John Michael Abood from Financial House, Inc.Jan 1, 2005 · Other
- Michael Joseph Sicuranza from LPL Financial LLCFeb 25, 2002 · Other
- Lisa M Lamarche from LPL Financial LLCFeb 25, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Calvert Howard Richardson · Managing Member / Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenville, De · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Myers, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 25, 2026individual and HNW clients (Item 5.D) moved from 310.0 to 503.0 (+62.0%) between the annual amendments of 2025-03-07 and 2026-03-25; the peer median change was +3.0% (3310 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 492 to 731Mar 7, 2025 to Mar 25, 2026
- Corporate clients · 13 to 2Mar 7, 2025 to Mar 25, 2026
- HNW clients · 171 to 314Mar 7, 2025 to Mar 25, 2026
- Individual clients · 139 to 189Mar 7, 2025 to Mar 25, 2026
- Pension plan clients · 7 to 6Mar 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $205M to $239MMar 7, 2025 to Mar 25, 2026
- HNW RAUM · $168M to $200MMar 7, 2025 to Mar 25, 2026
- Individual RAUM · $34.5M to $34.7MMar 7, 2025 to Mar 25, 2026
- Pension RAUM · $2.6M to $3.2MMar 7, 2025 to Mar 25, 2026
- RAUM · $205M to $239MMar 7, 2025 to Mar 25, 2026
- Accounts · 497 to 492Jan 24, 2024 to Mar 7, 2025
- Corporate clients · 0 to 13Jan 24, 2024 to Mar 7, 2025
- HNW clients · 174 to 171Jan 24, 2024 to Mar 7, 2025
- Individual clients · 141 to 139Jan 24, 2024 to Mar 7, 2025
- Pension plan clients · 4 to 7Jan 24, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 1-10Jan 24, 2024 to Mar 7, 2025
- Discretionary RAUM · $197M to $205MJan 24, 2024 to Mar 7, 2025
- HNW RAUM · $161M to $168MJan 24, 2024 to Mar 7, 2025
- Individual RAUM · $33.8M to $34.5MJan 24, 2024 to Mar 7, 2025
- Pension RAUM · $2.1M to $2.6MJan 24, 2024 to Mar 7, 2025
- RAUM · $197M to $205MJan 24, 2024 to Mar 7, 2025
- Wrap assets (manager) · $191M to $0Jan 24, 2024 to Mar 7, 2025
- Wrap assets (sponsor) · $6.4M to $0Jan 24, 2024 to Mar 7, 2025
- Accounts · 472 to 497Jan 27, 2023 to Jan 24, 2024
- HNW clients · 293 to 174Jan 27, 2023 to Jan 24, 2024
- Individual clients · 219 to 141Jan 27, 2023 to Jan 24, 2024
- Pension plan clients · 6 to 4Jan 27, 2023 to Jan 24, 2024
- Discretionary RAUM · $186M to $197MJan 27, 2023 to Jan 24, 2024
- HNW RAUM · $150M to $161MJan 27, 2023 to Jan 24, 2024
- Individual RAUM · $34.2M to $33.8MJan 27, 2023 to Jan 24, 2024
- Pension RAUM · $1.6M to $2.1MJan 27, 2023 to Jan 24, 2024
- RAUM · $186M to $197MJan 27, 2023 to Jan 24, 2024
- Wrap assets (manager) · $0 to $191MJan 27, 2023 to Jan 24, 2024
- Wrap assets (sponsor) · $0 to $6.4MJan 27, 2023 to Jan 24, 2024
- Accounts · 529 to 472Feb 16, 2022 to Jan 27, 2023
- HNW clients · 68 to 293Feb 16, 2022 to Jan 27, 2023
- Individual clients · 247 to 219Feb 16, 2022 to Jan 27, 2023
- Pension plan clients · 0 to 6Feb 16, 2022 to Jan 27, 2023
- Discretionary RAUM · $229M to $186MFeb 16, 2022 to Jan 27, 2023
- HNW RAUM · $133M to $150MFeb 16, 2022 to Jan 27, 2023
Signals
1 dated events
- Investment Management & Planning Llc filed its initial SEC registration (Form ADV)Mar 25, 2016 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 302-654-5449reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- IMANDP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 302-654-5449reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- IMANDP.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- IMANDP.COM/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $59.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026