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.
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SEC-registered adviser
A•••• P••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Mar 24, 2021 · 11 filings
SEC status approved since Apr 23, 2021
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$205M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$208M as of Feb 17, 2026
Mar 23, 2022$133M then
HNW client RAUM$161M as of Feb 17, 2026
Mar 23, 2022$105M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Mar 23, 20222 then
Employees (5.A)3 as of Feb 17, 2026
Mar 23, 20223 then
Private funds: no history
RAUM +13% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $405,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $58.9M, 64 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$161M78%
- Individuals$43.1M21%
- Corporations and businesses$2.4M1.2%
- Pension and profit-sharing plans$1.1M0.5%
- Individual clients
- 131reported
- HNW clients
- 64reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 513reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $2.4M managedreported
- Custody of client assets
- $58.9M for 64 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J•••• W•••••• | Isle Of Palms, Sc | Mar 2, 2017 | 19 y | 2 |
| A•••••• M••••• A•••••Certified Financial Planner, Chartered Financial Analyst | Isle Of Palms, Sc | Nov 2, 2017 | 14 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••••• J•••• W•••••• from S••••••••• A•••••• A•••••••• I•••Mar 2, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• W••••••• J•••• · Managing Member/Ccocontrolsince 02/2017 · 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 |
|---|---|---|---|---|---|
| Isle Of Palms, Sc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Plano, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 468 to 513Dec 23, 2025 to Feb 17, 2026
- Corporate clients · 4 to 5Dec 23, 2025 to Feb 17, 2026
- HNW clients · 57 to 64Dec 23, 2025 to Feb 17, 2026
- Individual clients · 136 to 131Dec 23, 2025 to Feb 17, 2026
- Pension plan clients · unset to 1.0Dec 23, 2025 to Feb 17, 2026
- Assets in custody · $54.9M to $58.9MDec 23, 2025 to Feb 17, 2026
- Financial planning clients · 51-100 to 101-250Dec 23, 2025 to Feb 17, 2026
- Discretionary RAUM · $184M to $208MDec 23, 2025 to Feb 17, 2026
- HNW RAUM · $143M to $161MDec 23, 2025 to Feb 17, 2026
- Individual RAUM · $39.4M to $43.1MDec 23, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $220,172 to $253,502Dec 23, 2025 to Feb 17, 2026
- Pension RAUM · unset to 1112210.0Dec 23, 2025 to Feb 17, 2026
- RAUM · $184M to $208MDec 23, 2025 to Feb 17, 2026
- Wrap assets (manager) · $2.2M to $2.4MDec 23, 2025 to Feb 17, 2026
- Other offices · 3 to 2Nov 6, 2025 to Dec 23, 2025
- Succession · true to falseNov 6, 2025 to Dec 23, 2025
- HQ city · TOWSON to Feb 19, 2025 to Nov 6, 2025
- HQ state · MD to Feb 19, 2025 to Nov 6, 2025
- Other offices · 2 to 3Feb 19, 2025 to Nov 6, 2025
- Succession · false to trueFeb 19, 2025 to Nov 6, 2025
- Accounts · 422 to 468Mar 1, 2024 to Feb 19, 2025
- Corporate clients · unset to 4.0Mar 1, 2024 to Feb 19, 2025
- HNW clients · 44 to 57Mar 1, 2024 to Feb 19, 2025
- Individual clients · 137 to 136Mar 1, 2024 to Feb 19, 2025
- Assets in custody · $47.3M to $54.9MMar 1, 2024 to Feb 19, 2025
- Employees · 2 to 3Mar 1, 2024 to Feb 19, 2025
- Financial planning clients · 51-100 to 51-100Mar 1, 2024 to Feb 19, 2025
- Discretionary RAUM · $149M to $184MMar 1, 2024 to Feb 19, 2025
- HNW RAUM · $107M to $143MMar 1, 2024 to Feb 19, 2025
- Individual RAUM · $40.2M to $39.4MMar 1, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $196,770 to $220,172Mar 1, 2024 to Feb 19, 2025
- RAUM · $149M to $184MMar 1, 2024 to Feb 19, 2025
- Wrap assets (manager) · $2.1M to $2.2MMar 1, 2024 to Feb 19, 2025
- Accounts · 377 to 422Mar 27, 2023 to Mar 1, 2024
- HNW clients · 34 to 44Mar 27, 2023 to Mar 1, 2024
- Individual clients · 135 to 137Mar 27, 2023 to Mar 1, 2024
- Assets in custody · $50.6M to $47.3MMar 27, 2023 to Mar 1, 2024
- Financial planning clients · 101-250 to 51-100Mar 27, 2023 to Mar 1, 2024
- Discretionary RAUM · $115M to $149MMar 27, 2023 to Mar 1, 2024
- HNW RAUM · $80.2M to $107MMar 27, 2023 to Mar 1, 2024
Signals
2 dated events
- A•••• P••••••• L•• reported succeeding to the business of A•••• P••••••• L•• (Form ADV Item 4)Nov 6, 2025 · Succession (Item 4) · fact
- A•••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 2021 · 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 phone
- 410-252-0088reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/alere-planning-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-252-0088reportedpublic record, Form ADV, Feb 17, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026