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

Capital Planning, LLC

Independent wealth managerBellevue, WashingtonCRD 169470SEC 801-79115website IAPD

Latest filing Mar 31, 2026

First filing on the tape Jan 16, 2014 · 58 filings

SEC status approved since Jan 1, 2014

RAUM

$618M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$609M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$124M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

58 filings and snapshots on the tape

RAUM$618M as of Mar 31, 2026

Mar 17, 2015$382M then

HNW client RAUM$554M as of Mar 31, 2026

Mar 29, 2018$497M then

State-registered IARs (5.B.3)5 as of Mar 31, 2026

Mar 17, 20157 then

Employees (5.A)12 as of Mar 31, 2026

Mar 17, 20158 then

Private funds: no history

RAUM -8.7% over the last fiscal year+10% a year over threeIARs 6 to 5offices 6 to 5

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

RAUM per advisor: $124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 58derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.2MderivedHNW RAUM over HNW clients
Average account: $528,390derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.4derivedItem 5.A over advisors
Advisors per office: 0.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year: -8.7%derivedbetween the last two annual amendments
Advisor growth, one year: -17%derivedItem 5.B.3 between annual amendments
Client growth, one year: -22%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
Custody: $20.8M, 23 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$554M90%
Individuals$54.8M8.9%
Charitable organizations$6.0M1.0%
Corporations and businesses$2.8M0.5%

Individual clients: 118reported
HNW clients: 171reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,169reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $20.8M for 23 clientsreported
Compensation: % of AUM, fixed, 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

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Michael Darrell MillerCertified Financial Planner, Chartered Financial Consultant	Bellevue, Wa	Jan 22, 2014	43 y	2
Brenda Jammy LeeChartered Financial Consultant	Issaquah, Wa	Jan 22, 2014	29 y	1
James Earl KelleyCertified Financial Planner	Bellevue, Wa	Jan 22, 2014	41 y	2
Christian Michael David Miller	Bellevue, Wa	Dec 20, 2023	13 y	0
Leigh Daniel Jerome Washington	Bellevue, Wa	Feb 24, 2025	12 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 headcount2 left over 36 months

Left, latest

David Lahmer Dunn to The Fiduciary Alliance
May 27, 2025 · RIA to RIA
Courtney O'Kelly Hanrahan to Eq Wealth Management
May 31, 2024 · RIA to RIA
Michael John Varga to Eq Wealth Management
Apr 9, 2018 · RIA to a newly registered adviser
John Michael Quigley to Eq Wealth Management
Apr 9, 2018 · RIA to a newly registered adviser
Stephen Patrick Emanuels to Eq Wealth Management
Apr 9, 2018 · RIA to a newly registered adviser
Becky Saumei Law to Morgan Stanley
Aug 1, 2017 · Other

Joined, latest

Michael John Varga from J.P. Morgan Securities LLC
Mar 17, 2017 · Other
Becky Saumei Law from Morgan Stanley
Jul 27, 2015 · Other
James Earl Kelley from Cetera Advisor Networks LLC
Jan 22, 2014 · Other
Michael Darrell Miller from Cetera Advisor Networks LLC
Jan 22, 2014 · Other
David Lahmer Dunn from Cetera Advisor Networks LLC
Jan 22, 2014 · Other
Stephen Patrick Emanuels from Cetera Advisor Networks LLC
Jan 22, 2014 · Other

Every departure Every arrival

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

3 left for Eq Wealth Management
Apr 9, 2018 · Bellevue, Wa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Earl James Kelley · Member, President, Chief Operating Officercontrol
since 01/2014 · owns 10% to 25%
Darrell Michael Miller · Chief Executive Officer & Chief Compliance Officercontrol
since 01/2014 · owns less than 5%
Darrell Michael Miller · Chairman, Chief Executive Officercontrol
since 04/1983 · owns 75% or more of M3 Holdings Corp Dba Capital Planning Corporation

Entity owners

M3 Holdings Corp Dba Capital Planning Corporation · Owner
direct · 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
Bellevue, Wa · principal	5	0	0
Shoreline, Wa	0	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 1,434 to 1,169
May 27, 2025 to Mar 31, 2026
Advisory employees · 8 to 7
May 27, 2025 to Mar 31, 2026
HNW clients · 208 to 171
May 27, 2025 to Mar 31, 2026
Individual clients · 164 to 118
May 27, 2025 to Mar 31, 2026
Assets in custody · $33.1M to $20.8M
May 27, 2025 to Mar 31, 2026
Employees · 13 to 12
May 27, 2025 to Mar 31, 2026
State-registered IARs · 6 to 5
May 27, 2025 to Mar 31, 2026
Discretionary RAUM · $677M to $618M
May 27, 2025 to Mar 31, 2026
HNW RAUM · $592M to $554M
May 27, 2025 to Mar 31, 2026
Individual RAUM · $76.7M to $54.8M
May 27, 2025 to Mar 31, 2026
RAUM · $677M to $618M
May 27, 2025 to Mar 31, 2026
Financial planning clients · 251-500 to 251-500
Apr 10, 2025 to May 27, 2025
Other offices · 6 to 5
Apr 10, 2025 to May 27, 2025
Accounts · 1,370 to 1,434
Oct 10, 2024 to Apr 10, 2025
Corporate clients · unset to 7.0
Oct 10, 2024 to Apr 10, 2025
HNW clients · 186 to 208
Oct 10, 2024 to Apr 10, 2025
Individual clients · 180 to 164
Oct 10, 2024 to Apr 10, 2025
Assets in custody · $34.1M to $33.1M
Oct 10, 2024 to Apr 10, 2025
Employees · 14 to 13
Oct 10, 2024 to Apr 10, 2025
Other offices · 5 to 6
Oct 10, 2024 to Apr 10, 2025
Discretionary RAUM · $549M to $677M
Oct 10, 2024 to Apr 10, 2025
HNW RAUM · $456M to $592M
Oct 10, 2024 to Apr 10, 2025
Individual RAUM · $85.4M to $76.7M
Oct 10, 2024 to Apr 10, 2025
RAUM · $549M to $677M
Oct 10, 2024 to Apr 10, 2025
Other offices · 6 to 5
Mar 29, 2024 to May 31, 2024
Accounts · 1,396 to 1,370
Nov 3, 2023 to Mar 26, 2024
Advisory employees · 7 to 8
Nov 3, 2023 to Mar 26, 2024
Corporate clients · 6.0 to unset
Nov 3, 2023 to Mar 26, 2024
HNW clients · 166 to 186
Nov 3, 2023 to Mar 26, 2024
Individual clients · 202 to 180
Nov 3, 2023 to Mar 26, 2024
Assets in custody · $20.8M to $34.1M
Nov 3, 2023 to Mar 26, 2024
Employees · 13 to 14
Nov 3, 2023 to Mar 26, 2024
State-registered IARs · 5 to 6
Nov 3, 2023 to Mar 26, 2024
Other offices · 5 to 6
Nov 3, 2023 to Mar 26, 2024
Discretionary RAUM · $461M to $549M
Nov 3, 2023 to Mar 26, 2024
HNW RAUM · $367M to $456M
Nov 3, 2023 to Mar 26, 2024
Individual RAUM · $86.8M to $85.4M
Nov 3, 2023 to Mar 26, 2024
RAUM · $461M to $549M
Nov 3, 2023 to Mar 26, 2024
Business name · CAPITAL PLANNING LLC to CAPITAL PLANNING, LLC
Mar 28, 2023 to Mar 29, 2023
Legal name · CAPITAL PLANNING LLC to CAPITAL PLANNING, LLC
Mar 28, 2023 to Mar 29, 2023

Signals

8 dated events

David Lahmer Dunn left Capital Planning, Llc for The Fiduciary Alliance (registered 2025-05-23)
May 27, 2025 · Advisor changed firm · fact
Courtney O'Kelly Hanrahan left Capital Planning, Llc for Eq Wealth Management (registered 2024-06-05)
May 31, 2024 · Advisor changed firm · fact
Capital Planning, Llc reported 5 offices beyond its principal office, up from 0 (2021-04-14 to 2022-03-23)
Mar 23, 2022 · Office count change · derived
Capital Planning, Llc reported RAUM $434.6M, up 33% from $327.1M (2019-08-07 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
Capital Planning, Llc reported RAUM $327.1M, down 41% from $556.4M (2018-10-24 to 2019-03-20)
Mar 20, 2019 · RAUM change · derived
Capital Planning, Llc reported RAUM $556.4M, up 36% from $407.7M (2018-01-10 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived
Capital Planning Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 16, 2014 · Succession (Item 4) · fact
Capital Planning Llc filed its initial SEC registration (Form ADV)
Jan 16, 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

Business email: cpc@capplanllc.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 425-643-1216reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 425-643-1800reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 800-900-9899reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/capital-planning-llcreportedpublic record, Form ADV, Sep 17, 2026
Website: CAPPLANLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 425-643-1800reportedpublic record, Form ADV, Mar 31, 2026
Contact form: capplanllc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Team page: capplanllc.com/who-we-arereportedpublished 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: $124Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026