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
Game Plan Financial Advisors, LLC
Latest filing Mar 18, 2026
First filing on the tape Jan 13, 2012 · 21 filings
SEC status approved since Jan 31, 2018
RAUM
$255M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$228M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$127M
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
21 filings and snapshots on the tape
RAUM$255M as of Mar 18, 2026
Dec 4, 2018$122M then
HNW client RAUM$197M as of Mar 18, 2026
Dec 4, 2018$59.5M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Dec 4, 20183 then
Employees (5.A)5 as of Mar 18, 2026
Dec 4, 20183 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $494,547derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.7%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $116M, 64 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M77%
- Individuals$30.6M12%
- Charitable organizations$22.2M8.7%
- Corporations and businesses$4.9M1.9%
- Individual clients
- 134reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 515reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 64 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael S Norehad | Westlake, Oh, Oh | Nov 17, 2010 | 35 y | 1 |
| Theodore David Beckman | Westlake, Oh, Oh | Mar 16, 2023 | 32 y | 4 |
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
- Michael Ryan Baker to Marcum Wealth, LLCAug 22, 2017 · Other
Joined, latest
- Theodore David Beckman from Carnegie Capital Asset Management CompanyFeb 25, 2011 · Other
- Michael S Norehad from Citigroup Global Markets Inc.Nov 17, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Theodore Beckman · Principal/Membercontrolsince 03/2009 · owns 50% to 75%
- S Michael Norehad · Principal - Chief Compliance Officer/Membercontrolsince 03/2009 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake, Oh, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 493 to 515Mar 3, 2025 to Mar 18, 2026
- Charity clients · 7 to 9Mar 3, 2025 to Mar 18, 2026
- Corporate clients · 8 to 11Mar 3, 2025 to Mar 18, 2026
- HNW clients · 48 to 51Mar 3, 2025 to Mar 18, 2026
- Individual clients · 128 to 134Mar 3, 2025 to Mar 18, 2026
- Assets in custody · $74.1M to $116MMar 3, 2025 to Mar 18, 2026
- Employees · 4 to 5Mar 3, 2025 to Mar 18, 2026
- Discretionary RAUM · $225M to $255MMar 3, 2025 to Mar 18, 2026
- HNW RAUM · $175M to $197MMar 3, 2025 to Mar 18, 2026
- Individual RAUM · $23.7M to $30.6MMar 3, 2025 to Mar 18, 2026
- RAUM · $225M to $255MMar 3, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 3, 2025
- Accounts · 474 to 493Mar 27, 2024 to Mar 3, 2025
- Charity clients · 6 to 7Mar 27, 2024 to Mar 3, 2025
- Corporate clients · 5 to 8Mar 27, 2024 to Mar 3, 2025
- HNW clients · 45 to 48Mar 27, 2024 to Mar 3, 2025
- Individual clients · 151 to 128Mar 27, 2024 to Mar 3, 2025
- Assets in custody · $66.6M to $74.1MMar 27, 2024 to Mar 3, 2025
- Discretionary RAUM · $187M to $225MMar 27, 2024 to Mar 3, 2025
- HNW RAUM · $135M to $175MMar 27, 2024 to Mar 3, 2025
- Individual RAUM · $28.7M to $23.7MMar 27, 2024 to Mar 3, 2025
- RAUM · $187M to $225MMar 27, 2024 to Mar 3, 2025
- Accounts · 415 to 474Mar 29, 2023 to Mar 27, 2024
- Charity clients · 3 to 6Mar 29, 2023 to Mar 27, 2024
- Corporate clients · unset to 5.0Mar 29, 2023 to Mar 27, 2024
- HNW clients · 58 to 45Mar 29, 2023 to Mar 27, 2024
- Individual clients · 354 to 151Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $660,000 to $66.6MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $186M to $187MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $106M to $135MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $61.1M to $28.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $186M to $187MMar 29, 2023 to Mar 27, 2024
- Accounts · 444 to 415Mar 25, 2022 to Mar 29, 2023
- Advisory employees · 3 to 2Mar 25, 2022 to Mar 29, 2023
- HNW clients · 166 to 58Mar 25, 2022 to Mar 29, 2023
- Individual clients · 275 to 354Mar 25, 2022 to Mar 29, 2023
- Employees · 3 to 4Mar 25, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 2Mar 25, 2022 to Mar 29, 2023
- Other offices · 1 to 0Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $216M to $186MMar 25, 2022 to Mar 29, 2023
Signals
2 dated events
- Drew Jonathan Burke (Principal/Member) no longer on Schedule A of Game Plan Financial Advisors, Llc (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Game Plan Financial Advisors, Llc filed its initial SEC registration (Form ADV)Dec 12, 2017 · 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
- 440-209-6480reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- GAMEPLANFA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 440-209-6480reportedpublic record, Form ADV, Mar 18, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026