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
Rooted Planning Group
Legal name Irvine Wealth Planning Strategies, LLC
Latest filing Feb 24, 2026
First filing on the tape Jan 31, 2018 · 29 filings
SEC status approved since Mar 1, 2018
RAUM
$157M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$153M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.3M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$157M as of Feb 24, 2026
Jan 18, 2019$31.0M then
HNW client RAUM$107M as of Feb 24, 2026
Jan 18, 2019$13.5M then
State-registered IARs (5.B.3)3 as of Feb 24, 2026
Jan 18, 20190 then
Employees (5.A)7 as of Feb 24, 2026
Jan 18, 20197 then
Private funds: no history
RAUM +33% over the last fiscal year+29% a year over threeIARs 4 to 3offices 5 to 4
Practice profile
derived from the filing of Feb 24, 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
- RAUM per advisor
- $52.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $202,309derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $50.6M, 93 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$107M68%
- Individuals$46.1M29%
- Pension and profit-sharing plans$2.4M1.6%
- Charitable organizations$1.6M1.0%
- Corporations and businesses$4880.0%
- Individual clients
- 138reported
- HNW clients
- 80reported
- Pension plan clients
- 6reported
- Charitable clients
- 5reported
- Accounts
- 776reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.6M for 93 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Amy Elizabeth IrvineCertified Financial Planner | Corning, Ny | Mar 1, 2021 | 21 y | 4 |
| Katrina Marie WelkerCertified Financial Planner | Corning, Ny | Aug 25, 2021 | 22 y | 0 |
| Rebekah Elizabeth EasonCertified Financial Planner | Corning, Ny | Aug 27, 2021 | 18 y | 1 |
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
- Elizabeth Ashley Zemak to Newedge AdvisorsAug 6, 2024 · RIA to affiliated broker-dealer or bank
- Ann Marie Arceo to Del-Sette Capital Management, LLCNov 27, 2023 · RIA to RIA
- William Nathan Morrison to Cambridge Investment Research Advisors, Inc.Nov 29, 2019 · RIA to affiliated broker-dealer or bank
- Matthew Allen Fizell to Guiding Wealth Management, LLCJun 17, 2019 · RIA to a state-registered adviser
Joined, latest
- Amy Elizabeth Irvine from Pinnacle Financial Wealth Management, LLCMar 1, 2021 · Other
- Ann Marie Arceo from Savvy Duo Financial Planning, Inc.Sep 14, 2020 · Other
- William Nathan Morrison from Carl M. Hennig, Inc.Apr 18, 2019 · Other
- Matthew Allen Fizell from Thrivent Investment Management Inc.Jun 20, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Amy Irvine · Principal, Ccocontrolsince 05/2016 · owns 75% or more
- Kerrie Beene · Ownersince 01/2020 · owns 5% to 10%
- Elizabeth Rebekah Eason · Ownersince 01/2021 · owns 5% to 10%
- Marie Katrina Welker · Ownersince 01/2020 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Corning, Ny · principal | 3 | 0 | 0 | ||
| Rio Rancho, Nm | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Feb 24, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-12-05, no on the filing of 2026-02-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 705 to 776Dec 5, 2025 to Feb 24, 2026
- Advisory employees · 4 to 3Dec 5, 2025 to Feb 24, 2026
- Charity clients · unset to 5.0Dec 5, 2025 to Feb 24, 2026
- HNW clients · 96 to 80Dec 5, 2025 to Feb 24, 2026
- Individual clients · 174 to 138Dec 5, 2025 to Feb 24, 2026
- Pension plan clients · unset to 6.0Dec 5, 2025 to Feb 24, 2026
- Assets in custody · $36.3M to $50.6MDec 5, 2025 to Feb 24, 2026
- Employees · 8 to 7Dec 5, 2025 to Feb 24, 2026
- Financial planning clients · 101-250 to 251-500Dec 5, 2025 to Feb 24, 2026
- State-registered IARs · 4 to 3Dec 5, 2025 to Feb 24, 2026
- Discretionary RAUM · $118M to $155MDec 5, 2025 to Feb 24, 2026
- HNW RAUM · $73.9M to $107MDec 5, 2025 to Feb 24, 2026
- Individual RAUM · $43.4M to $46.1MDec 5, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $0 to $2.0MDec 5, 2025 to Feb 24, 2026
- Pension RAUM · $0 to $2.4MDec 5, 2025 to Feb 24, 2026
- RAUM · $118M to $157MDec 5, 2025 to Feb 24, 2026
- Other offices · 5 to 4Mar 7, 2025 to Oct 24, 2025
- Accounts · 619 to 705Nov 12, 2024 to Mar 7, 2025
- Advisory employees · 5 to 4Nov 12, 2024 to Mar 7, 2025
- HNW clients · 97 to 96Nov 12, 2024 to Mar 7, 2025
- Individual clients · 160 to 174Nov 12, 2024 to Mar 7, 2025
- Assets in custody · unset to 36300000.0Nov 12, 2024 to Mar 7, 2025
- Custody of client assets · false to trueNov 12, 2024 to Mar 7, 2025
- Employees · 5 to 8Nov 12, 2024 to Mar 7, 2025
- Financial planning clients · 251-500 to 101-250Nov 12, 2024 to Mar 7, 2025
- State-registered IARs · 5 to 4Nov 12, 2024 to Mar 7, 2025
- Other offices · 2 to 5Nov 12, 2024 to Mar 7, 2025
- Discretionary RAUM · $95.7M to $118MNov 12, 2024 to Mar 7, 2025
- HNW RAUM · $51.4M to $73.9MNov 12, 2024 to Mar 7, 2025
- Individual RAUM · $42.2M to $43.4MNov 12, 2024 to Mar 7, 2025
- Pension RAUM · $2.0M to $0Nov 12, 2024 to Mar 7, 2025
- RAUM · $95.7M to $118MNov 12, 2024 to Mar 7, 2025
- Accounts · 334 to 619Nov 16, 2023 to Jan 9, 2024
- HNW clients · 55 to 97Nov 16, 2023 to Jan 9, 2024
- Individual clients · 194 to 160Nov 16, 2023 to Jan 9, 2024
- State-registered IARs · 0 to 5Nov 16, 2023 to Jan 9, 2024
- Discretionary RAUM · $72.6M to $95.7MNov 16, 2023 to Jan 9, 2024
- HNW RAUM · $37.4M to $51.4MNov 16, 2023 to Jan 9, 2024
- Individual RAUM · $33.0M to $42.2MNov 16, 2023 to Jan 9, 2024
- Pension RAUM · $2.1M to $2.0MNov 16, 2023 to Jan 9, 2024
Signals
4 dated events
- Elizabeth Ashley Zemak left Rooted Planning Group for Newedge Advisors (registered 2024-12-11)Aug 6, 2024 · Advisor changed firm · fact
- Ann Marie Arceo left Rooted Planning Group for Del-Sette Capital Management, Llc (registered 2023-12-08)Nov 27, 2023 · Advisor changed firm · fact
- Elizabeth Rebekah Eason (Owner) appeared on Schedule A of Rooted Planning GroupFeb 9, 2021 · Control person joined · fact
- Irvine Wealth Planning Strategies, Llc filed its initial SEC registration (Form ADV)Jan 31, 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
- Business email
- info@rootedpg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 607-438-2761reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/19110624reportedpublic record, Form ADV, Sep 17, 2026
- Website
- ROOTEDPG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 607-438-2761reportedpublic record, Form ADV, Feb 24, 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
- $52.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026