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.

Former SEC-registered adviser

Financial Planning Solutions, LLC

Former SEC-registered adviserAuburndale, MassachusettsCRD 168211SEC 801-113221website IAPD

Latest filing Dec 12, 2025

First filing on the tape Apr 13, 2018 · 23 filings

SEC status approved since May 14, 2018

RAUM

$312M

reported, Item 5.F

Discretionary

89%

of RAUM

Private clients

89%

$280M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$312M as of Dec 12, 2025

Mar 14, 2019$119M then

HNW client RAUM$106M as of Dec 12, 2025

Mar 14, 2019$103M then

State-registered IARs (5.B.3)6 as of Dec 12, 2025

Mar 14, 20192 then

Employees (5.A)8 as of Dec 12, 2025

Mar 14, 20194 then

Private funds: no history

RAUM +10% over the last fiscal year+13% a year over threeIARs 5 to 6

Practice profile

derived from the filing of Dec 12, 2025; every figure names its basis

RAUM per advisor: $52.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 43derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.1MderivedHNW RAUM over HNW clients
Average account: $275,009derivedRAUM over accounts (5.F.2.f)
Discretionary: 89%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +37%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $280M, 255 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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$173M55%
High-net-worth individuals$106M34%
Pension and profit-sharing plans$32.9M11%

Individual clients: 234reported
HNW clients: 21reported
Pension plan clients: 11reported
Charitable clients: n/areported
Accounts: 1,136reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $280M for 255 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

6 left, 0 joined in 12 months

net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months

Left, latest

Lyman Hood Jackson to Beacon Pointe Advisors, LLC
Mar 27, 2026 · RIA to RIA
Dillon Frederick Driscoll to Beacon Pointe Advisors, LLC
Dec 31, 2025 · RIA to RIA
Richard Howard Fingerman to Beacon Pointe Advisors, LLC
Dec 31, 2025 · RIA to RIA
Margaret Ann Dolan to Beacon Pointe Advisors, LLC
Dec 31, 2025 · RIA to RIA
Janet Rhodes Friedman to Beacon Pointe Advisors, LLC
Dec 31, 2025 · RIA to RIA
Andrew Francis Holmes to Beacon Pointe Advisors, LLC
Dec 31, 2025 · RIA to RIA

Joined, latest

Margaret Ann Dolan from Rosenblum Silverman Sutton Sf Inc
Jun 21, 2022 · RIA to RIA
Janet Rhodes Friedman from Cwm, LLC
May 20, 2022 · Affiliated broker-dealer or bank to independent RIA
Richard Howard Fingerman from Cambridge Investment Research Advisors, Inc.
Sep 3, 2013 · Other
Lyman Hood Jackson from Jackson Financial Advisors, Inc.
Sep 3, 2013 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 left for Beacon Pointe Advisors, LLC
Dec 31, 2025 · Auburndale, Ma · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Howard Richard Fingerman · Membercontrol
since 07/2013 · owns 50% to 75%
Hood Lyman Jackson · Member And Chief Compliance Officercontrol
since 07/2013 · 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
Auburndale, Ma · principal	0	0	6

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 5 to 6
Mar 19, 2025 to Dec 12, 2025
State-registered IARs · 5 to 6
Mar 19, 2025 to Dec 12, 2025
Accounts · 1,174 to 1,136
Sep 19, 2024 to Mar 19, 2025
HNW clients · 10 to 21
Sep 19, 2024 to Mar 19, 2025
Individual clients · 176 to 234
Sep 19, 2024 to Mar 19, 2025
Assets in custody · $246M to $280M
Sep 19, 2024 to Mar 19, 2025
Employees · 7 to 8
Sep 19, 2024 to Mar 19, 2025
Financial planning clients · 26-50 to 26-50
Sep 19, 2024 to Mar 19, 2025
HQ city · NEWTON to AUBURNDALE
Sep 19, 2024 to Mar 19, 2025
Discretionary RAUM · $258M to $280M
Sep 19, 2024 to Mar 19, 2025
Individual RAUM · $149M to $173M
Sep 19, 2024 to Mar 19, 2025
Non-discretionary RAUM · $25.8M to $32.9M
Sep 19, 2024 to Mar 19, 2025
Pension RAUM · $28.0M to $32.9M
Sep 19, 2024 to Mar 19, 2025
RAUM · $284M to $312M
Sep 19, 2024 to Mar 19, 2025
Accounts · 1,129 to 1,174
Dec 19, 2023 to Mar 15, 2024
HNW clients · 65 to 10
Dec 19, 2023 to Mar 15, 2024
Individual clients · 154 to 176
Dec 19, 2023 to Mar 15, 2024
Pension plan clients · 12 to 11
Dec 19, 2023 to Mar 15, 2024
Assets in custody · $234M to $246M
Dec 19, 2023 to Mar 15, 2024
Employees · 5 to 7
Dec 19, 2023 to Mar 15, 2024
Discretionary RAUM · $236M to $258M
Dec 19, 2023 to Mar 15, 2024
HNW RAUM · $142M to $106M
Dec 19, 2023 to Mar 15, 2024
Individual RAUM · $92.7M to $149M
Dec 19, 2023 to Mar 15, 2024
Non-discretionary RAUM · $22.0M to $25.8M
Dec 19, 2023 to Mar 15, 2024
Pension RAUM · $24.0M to $28.0M
Dec 19, 2023 to Mar 15, 2024
RAUM · $258M to $284M
Dec 19, 2023 to Mar 15, 2024
Accounts · 1,010 to 1,129
Jan 4, 2023 to Mar 6, 2023
HNW clients · 59 to 65
Jan 4, 2023 to Mar 6, 2023
Individual clients · 213 to 154
Jan 4, 2023 to Mar 6, 2023
Pension plan clients · 10 to 12
Jan 4, 2023 to Mar 6, 2023
Assets in custody · $190M to $234M
Jan 4, 2023 to Mar 6, 2023
Financial planning clients · 11-25 to 26-50
Jan 4, 2023 to Mar 6, 2023
Other offices · 0 to 1
Jan 4, 2023 to Mar 6, 2023
Discretionary RAUM · $190M to $236M
Jan 4, 2023 to Mar 6, 2023
HNW RAUM · $107M to $142M
Jan 4, 2023 to Mar 6, 2023
Individual RAUM · $81.1M to $92.7M
Jan 4, 2023 to Mar 6, 2023
Non-discretionary RAUM · $24.9M to $22.0M
Jan 4, 2023 to Mar 6, 2023
Pension RAUM · $27.1M to $24.0M
Jan 4, 2023 to Mar 6, 2023
RAUM · $215M to $258M
Jan 4, 2023 to Mar 6, 2023
Advisory employees · 3 to 5
Mar 7, 2022 to May 20, 2022

Signals

9 dated events

Financial Planning Solutions, Llc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $312.4M)
Apr 1, 2026 · Left the SEC roster · derived
Lyman Hood Jackson left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Mar 27, 2026 · Advisor changed firm · fact
Margaret Ann Dolan left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Dec 31, 2025 · Advisor changed firm · fact
Andrew Francis Holmes left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Dec 31, 2025 · Advisor changed firm · fact
Dillon Frederick Driscoll left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Dec 31, 2025 · Advisor changed firm · fact
Janet Rhodes Friedman left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Dec 31, 2025 · Advisor changed firm · fact
Richard Howard Fingerman left Financial Planning Solutions, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-23)
Dec 31, 2025 · Advisor changed firm · fact
Financial Planning Solutions, LLC's advisors moved to Beacon Pointe Advisors, LLC (Auburndale, MA): 5 of 6 registered, on the same day
Dec 31, 2025 · Firm absorbed (people side) · derived
Financial Planning Solutions, Llc filed its initial SEC registration (Form ADV)
Apr 13, 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.

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: Former SEC-registered adviserderiveda 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