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
Financial Planning Associates, LLC
Latest filing Mar 29, 2026
First filing on the tape Jan 29, 2014 · 23 filings
SEC status approved since Feb 5, 2014
RAUM
$74.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$74.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$74.7M
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
23 filings and snapshots on the tape
RAUM$74.7M as of Mar 29, 2026
Mar 27, 2015$61.2M then
HNW client RAUM$64.6M as of Mar 29, 2026
Mar 15, 2018$56.4M then
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 27, 20152 then
Employees (5.A)1 as of Mar 29, 2026
Mar 27, 20152 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.6M86%
- Individuals$9.7M13%
- Pension and profit-sharing plans$416,7250.6%
- Individual clients
- 26reported
- HNW clients
- 33reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 60reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- Antonio Angelo Taddeo to Gladstone Wealth PartnersSep 16, 2026 · RIA to RIA
- Keith Andrew Herman to J P Turner & Company Capital Management, LLCOct 14, 2013 · Other
Joined, latest
- Antonio Angelo Taddeo from Lenox Advisors, Inc.Jan 11, 2013 · Other
- Keith Andrew Herman from Financial Planning Associates,Inc.Jan 12, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Angelo Antonio Taddeo · Chief Compliance Officer/Presidentcontrolsince 12/2011 · 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 |
|---|---|---|---|---|---|
| White Plains, Ny · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 27 to 33Mar 20, 2025 to Mar 29, 2026
- Individual clients · 32 to 26Mar 20, 2025 to Mar 29, 2026
- Discretionary RAUM · $64.5M to $74.7MMar 20, 2025 to Mar 29, 2026
- HNW RAUM · $51.4M to $64.6MMar 20, 2025 to Mar 29, 2026
- Individual RAUM · $12.7M to $9.7MMar 20, 2025 to Mar 29, 2026
- Pension RAUM · $344,933 to $416,725Mar 20, 2025 to Mar 29, 2026
- RAUM · $64.5M to $74.7MMar 20, 2025 to Mar 29, 2026
- HNW clients · 21 to 27Apr 9, 2024 to Mar 20, 2025
- Individual clients · 38 to 32Apr 9, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Apr 9, 2024 to Mar 20, 2025
- Discretionary RAUM · $60.4M to $64.5MApr 9, 2024 to Mar 20, 2025
- HNW RAUM · $42.2M to $51.4MApr 9, 2024 to Mar 20, 2025
- Individual RAUM · $17.9M to $12.7MApr 9, 2024 to Mar 20, 2025
- Pension RAUM · $290,000 to $344,933Apr 9, 2024 to Mar 20, 2025
- RAUM · $60.4M to $64.5MApr 9, 2024 to Mar 20, 2025
- Accounts · 58 to 60Mar 24, 2023 to Mar 14, 2024
- HNW clients · 18 to 21Mar 24, 2023 to Mar 14, 2024
- Individual clients · 40 to 38Mar 24, 2023 to Mar 14, 2024
- Pension plan clients · unset to 1.0Mar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $53.3M to $60.4MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · $35.6M to $42.2MMar 24, 2023 to Mar 14, 2024
- Individual RAUM · $17.6M to $17.9MMar 24, 2023 to Mar 14, 2024
- Pension RAUM · unset to 290000.0Mar 24, 2023 to Mar 14, 2024
- RAUM · $53.3M to $60.4MMar 24, 2023 to Mar 14, 2024
- Accounts · 67 to 58Mar 12, 2022 to Mar 24, 2023
- Advisory employees · 2 to 1Mar 12, 2022 to Mar 24, 2023
- HNW clients · 39 to 18Mar 12, 2022 to Mar 24, 2023
- Individual clients · 26 to 40Mar 12, 2022 to Mar 24, 2023
- Employees · 2 to 1Mar 12, 2022 to Mar 24, 2023
- Discretionary RAUM · $69.7M to $53.3MMar 12, 2022 to Mar 24, 2023
- HNW RAUM · $60.2M to $35.6MMar 12, 2022 to Mar 24, 2023
- Individual RAUM · $8.8M to $17.6MMar 12, 2022 to Mar 24, 2023
- Pension RAUM · 727994.0 to unsetMar 12, 2022 to Mar 24, 2023
- RAUM · $69.7M to $53.3MMar 12, 2022 to Mar 24, 2023
- Accounts · 71 to 67Mar 25, 2021 to Mar 12, 2022
- HNW clients · 29 to 39Mar 25, 2021 to Mar 12, 2022
- Individual clients · 41 to 26Mar 25, 2021 to Mar 12, 2022
- Pension plan clients · 1.0 to unsetMar 25, 2021 to Mar 12, 2022
- Discretionary RAUM · $68.0M to $69.7MMar 25, 2021 to Mar 12, 2022
- HNW RAUM · $29.2M to $60.2MMar 25, 2021 to Mar 12, 2022
Signals
2 dated events
- Antonio Angelo Taddeo left Financial Planning Associates, LLC for Gladstone Wealth Partners (registered 2025-10-14)Sep 16, 2026 · Advisor changed firm · fact
- Financial Planning Associates, Llc filed its initial SEC registration (Form ADV)Jan 29, 2014 · 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
- Principal office phone
- (914) 997-9229 X13reportedpublic record, Form ADV, Apr 9, 2024
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
- $74.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026