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
Plan Confidence Corporation
Latest filing Jul 29, 2026
First filing on the tape Apr 29, 2016 · 34 filings
SEC status approved since May 16, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$0 as of Jul 29, 2026
Mar 18, 2022$15,604 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Jul 29, 2026
Mar 23, 20171 then
Employees (5.A)3 as of Jul 29, 2026
Mar 23, 20172 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW 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
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Thomas Clark | Sarasota, Fl | May 23, 2016 | 28 y | 3 |
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
none on the tape
Joined, latest
- Kevin Thomas Clark from Independent Solutions Wealth Management, LLCMay 23, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Kevin Clark · President And Chief Compliance Officercontrolsince 02/2016 · owns 50% to 75%
- Mark Reddick · Chief Technology Officercontrolsince 06/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 0Sep 3, 2024 to Feb 19, 2025
- Individual clients · 1.0 to unsetSep 3, 2024 to Feb 19, 2025
- Employees · 2 to 3Sep 3, 2024 to Feb 19, 2025
- Financial planning clients · 0 to 0Sep 3, 2024 to Feb 19, 2025
- Discretionary RAUM · $31,000 to $0Sep 3, 2024 to Feb 19, 2025
- Individual RAUM · 31000.0 to unsetSep 3, 2024 to Feb 19, 2025
- RAUM · $31,000 to $0Sep 3, 2024 to Feb 19, 2025
- Accounts · 3 to 1Dec 1, 2023 to Mar 6, 2024
- Individual clients · 3 to 1Dec 1, 2023 to Mar 6, 2024
- Discretionary RAUM · $55,859 to $31,000Dec 1, 2023 to Mar 6, 2024
- Individual RAUM · $75,340 to $31,000Dec 1, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $19,481 to $0Dec 1, 2023 to Mar 6, 2024
- RAUM · $75,340 to $31,000Dec 1, 2023 to Mar 6, 2024
- Accounts · 2 to 3Oct 26, 2022 to Mar 7, 2023
- Individual clients · 2 to 3Oct 26, 2022 to Mar 7, 2023
- Employees · 3 to 2Oct 26, 2022 to Mar 7, 2023
- Financial planning clients · unset to 0Oct 26, 2022 to Mar 7, 2023
- Discretionary RAUM · $15,604 to $55,859Oct 26, 2022 to Mar 7, 2023
- Individual RAUM · $15,604 to $75,340Oct 26, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $0 to $19,481Oct 26, 2022 to Mar 7, 2023
- RAUM · $15,604 to $75,340Oct 26, 2022 to Mar 7, 2023
- Accounts · unset to 2.0Nov 3, 2021 to Mar 18, 2022
- Individual clients · 342 to 2Nov 3, 2021 to Mar 18, 2022
- Employees · 2 to 3Nov 3, 2021 to Mar 18, 2022
- Discretionary RAUM · unset to 15604.0Nov 3, 2021 to Mar 18, 2022
- Individual RAUM · unset to 15604.0Nov 3, 2021 to Mar 18, 2022
- Non-discretionary RAUM · unset to 0.0Nov 3, 2021 to Mar 18, 2022
- RAUM · unset to 15604.0Nov 3, 2021 to Mar 18, 2022
- Individual clients · 343 to 342Sep 2, 2021 to Oct 4, 2021
- Individual clients · 220 to 343Nov 23, 2020 to Mar 31, 2021
- Individual RAUM · 0.0 to unsetNov 23, 2020 to Mar 31, 2021
- Individual clients · 113 to 220Dec 19, 2019 to Mar 4, 2020
- Advisory activities · 1 to 2May 14, 2019 to Dec 19, 2019
- Employees · 32 to 2May 14, 2019 to Dec 19, 2019
- HNW clients · 4.0 to unsetSep 26, 2018 to Mar 6, 2019
- Individual clients · 7 to 113Sep 26, 2018 to Mar 6, 2019
- Employees · 2 to 32Sep 26, 2018 to Mar 6, 2019
- HQ city · unset to SARASOTASep 26, 2018 to Mar 6, 2019
- HQ state · unset to FLSep 26, 2018 to Mar 6, 2019
- HNW RAUM · 0.0 to unsetSep 26, 2018 to Mar 6, 2019
Signals
1 dated events
- Plan Confidence Corporation filed its initial SEC registration (Form ADV)Apr 29, 2016 · 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/plan-confidence-corporationreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PLANCONFIDENCE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-373-0772reportedpublic record, Form ADV, Jul 29, 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