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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Latest filing Aug 11, 2026
First filing on the tape Feb 28, 2018 · 21 filings
SEC status approved since Mar 30, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Aug 11, 2026
Mar 20, 2025$0 then
HNW client RAUM$0 as of Aug 11, 2026
Mar 26, 2024$0 then
State-registered IARs (5.B.3)5 as of Aug 11, 2026
Apr 1, 20191 then
Employees (5.A)10 as of Aug 11, 2026
Apr 1, 20191 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 5offices 4 to 5
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 921derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, otherreportedItem 5.G
- Financial planning clients
- 7,000reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
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
- 2,270reported
- HNW clients
- 5,100reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 7,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••• Z•••• | Fuquay-Varina, Nc | Oct 25, 2013 | 28 y | 0 |
| A••• D•••• H•••••• | Joplin, Mo | Jan 18, 2024 | 14 y | 0 |
| S•••••••• J••• F•••••• | Brookfield, Wi | Apr 4, 2024 | 10 y | 2 |
| J•••• R••••••••Certified Financial Planner | Ballston Lake, Ny | May 8, 2024 | 18 y | 4 |
| J•••• J••• L•••• | Fuquay-Varina, Nc | Dec 1, 2024 | 24 y | 0 |
| R••••• W••••• B•••Certified Financial Planner, Chartered Financial Consultant | Ferndale, Wa | Apr 28, 2026 | 26 y | 8 |
| A•••• L••••Certified Financial Planner | Millbrae, Ca | Jul 31, 2026 | 17 y | 0 |
| R••• C•••••Certified Financial Planner | Fuquay-Varina, Nc | Aug 11, 2026 | 10 y | 6 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• C••••• from A••••••• F••••••••• L••Aug 11, 2026 · Other
- R••••• W••••• B••• from U••• B•••••• I••••••••• I•••Apr 28, 2026 · Other
- J•••• R•••••••• from B•••••••• M•••• M••••••••• I•••May 8, 2024 · Other
- S•••••••• J••• F•••••• from O•••• W•••••• I•••Apr 4, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• M•••• A•••• · Chief Compliance Officer And Foundercontrolsince 04/2012 · 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 |
|---|---|---|---|---|---|
| Fuquayvarina, Nc | 8 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 5Feb 19, 2026 to Apr 28, 2026
- HNW clients · 2,789 to 5,100Mar 20, 2025 to Feb 19, 2026
- Individual clients · unset to 2270.0Mar 20, 2025 to Feb 19, 2026
- Employees · 8 to 10Mar 20, 2025 to Feb 19, 2026
- Individual RAUM · unset to 0.0Mar 20, 2025 to Feb 19, 2026
- Accounts · unset to 0.0May 22, 2024 to Mar 20, 2025
- Advisory employees · 3 to 5May 22, 2024 to Mar 20, 2025
- HNW clients · 1,645 to 2,789May 22, 2024 to Mar 20, 2025
- Employees · 6 to 8May 22, 2024 to Mar 20, 2025
- Financial planning clients · More than 500 to More than 500May 22, 2024 to Mar 20, 2025
- HQ city · unset to May 22, 2024 to Mar 20, 2025
- HQ state · unset to May 22, 2024 to Mar 20, 2025
- State-registered IARs · 3 to 5May 22, 2024 to Mar 20, 2025
- Other offices · 1 to 4May 22, 2024 to Mar 20, 2025
- Discretionary RAUM · unset to 0.0May 22, 2024 to Mar 20, 2025
- Non-discretionary RAUM · unset to 0.0May 22, 2024 to Mar 20, 2025
- RAUM · unset to 0.0May 22, 2024 to Mar 20, 2025
- Advisory activities · 3 to 2Apr 4, 2024 to May 22, 2024
- Advisory employees · 2 to 3Mar 6, 2023 to Mar 26, 2024
- HNW clients · unset to 1645.0Mar 6, 2023 to Mar 26, 2024
- Employees · 3 to 6Mar 6, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 3Mar 6, 2023 to Mar 26, 2024
- Other offices · 0 to 1Mar 6, 2023 to Mar 26, 2024
- HNW RAUM · unset to 0.0Mar 6, 2023 to Mar 26, 2024
- Succession · true to falseMar 6, 2023 to Mar 26, 2024
- Succession · false to trueFeb 20, 2023 to Mar 6, 2023
- Advisory employees · 1 to 2Nov 20, 2020 to Jan 26, 2021
- Advisory activities · 5 to 3Nov 20, 2020 to Jan 26, 2021
- Employees · 1 to 3Nov 20, 2020 to Jan 26, 2021
- State-registered IARs · 1 to 2Nov 20, 2020 to Jan 26, 2021
- Individual clients · 1850.0 to unsetApr 1, 2019 to Feb 11, 2020
- Individual clients · 670 to 1,850Feb 28, 2018 to Apr 1, 2019
- Financial planning clients · 251-500 to More than 500Feb 28, 2018 to Apr 1, 2019
Signals
2 dated events
- P••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 6, 2023 · Succession (Item 4) · fact
- P••••••••• L•• filed its initial SEC registration (Form ADV)Feb 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/weareplanvisionreportedpublic record, Form ADV, Sep 18, 2026
- Website
- planvisionclients.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (612) 965-4286reportedpublic record, Form ADV, Aug 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
- No RAUM reportedderiveda 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