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 A Wealth, LLC
Latest filing Mar 10, 2026
First filing on the tape Mar 1, 2017 · 34 filings
SEC status approved since Mar 22, 2017
RAUM
$434M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$411M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$62.0M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$434M as of Mar 10, 2026
Mar 9, 2018$118M then
HNW client RAUM$281M as of Mar 10, 2026
Mar 9, 2018$63.8M then
State-registered IARs (5.B.3)6 as of Mar 10, 2026
Mar 9, 20183 then
Employees (5.A)13 as of Mar 10, 2026
Mar 9, 20184 then
Private funds: no history
RAUM +17% over the last fiscal year+23% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Mar 10, 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
- $62.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $196,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $175M, 357 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$281M65%
- Individuals$130M30%
- Pension and profit-sharing plans$16.2M3.7%
- Charitable organizations$4.7M1.1%
- Banks and thrifts$1.3M0.3%
- Corporations and businesses$438,3190.1%
- Individual clients
- 474reported
- HNW clients
- 163reported
- Pension plan clients
- 9reported
- Charitable clients
- 6reported
- Accounts
- 2,203reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $175M for 357 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Wallace Anderson | Lincoln, Ne | Apr 21, 2017 | 34 y | 5 |
| Becky Lynn Wiegand | Lincoln, Ne | Apr 24, 2017 | 15 y | 2 |
| Michael Anthony Hoefler | Lincoln, Ne | Jun 16, 2020 | 29 y | 1 |
| Brad Parker Bryan | Lincoln, Ne | Feb 12, 2021 | 29 y | 0 |
| Joshua Gregory Fisher | Coshocton, Oh | Nov 11, 2023 | 19 y | 2 |
| Cutter Price Anderson | Lincoln, Ne | Dec 5, 2024 | 12 y | 0 |
| Logan Samuel Schluckebier | Lincoln, Ne | Jan 14, 2026 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount4 left over 36 months
Left, latest
- Jonathan David Mcalister to Integrity Road Wealth Partners LLCNov 28, 2025 · RIA to RIA
- Shane Foster to Victory Wealth Services, LLCJul 1, 2025 · RIA to a state-registered adviser
- Christian Duraine Classen to 402 FinancialJul 8, 2024 · RIA to a state-registered adviser
- Joseph Fowler to 402 FinancialJul 8, 2024 · RIA to a state-registered adviser
- Michael Andrew Krause to Teckmeyer Financial Services, L.L.C.Jun 30, 2023 · RIA to a state-registered adviser
Joined, latest
- Joshua Gregory Fisher from Wells Fargo AdvisorsNov 11, 2023 · Wirehouse to independent RIA
- Jonathan David Mcalister from Apc Financial PlanningMar 29, 2021 · RIA to RIA
- Michael Anthony Hoefler from Securities America Advisors, Inc.Jun 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- Michael Andrew Krause from Wells Fargo AdvisorsApr 24, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Becky Lynn Wiegand from Wells Fargo AdvisorsApr 24, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Ronald Wallace Anderson from Wells Fargo AdvisorsMar 22, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for 402 FinancialJul 8, 2024 · Lincoln, Ne
- 3 joined from Wells Fargo AdvisorsApr 24, 2017 · Lincoln, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wallace Ronald Anderson · Managing Membercontrolsince 03/2017 · owns 75% or more
- Lynn Becky Wiegand · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lincoln, Ne · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Coshocton, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 1,930 to 2,203Jun 9, 2025 to Mar 10, 2026
- Advisory employees · 8 to 6Jun 9, 2025 to Mar 10, 2026
- Charity clients · unset to 6.0Jun 9, 2025 to Mar 10, 2026
- Corporate clients · unset to 4.0Jun 9, 2025 to Mar 10, 2026
- HNW clients · 148 to 163Jun 9, 2025 to Mar 10, 2026
- Individual clients · 423 to 474Jun 9, 2025 to Mar 10, 2026
- Assets in custody · $103M to $175MJun 9, 2025 to Mar 10, 2026
- Employees · 12 to 13Jun 9, 2025 to Mar 10, 2026
- State-registered IARs · 8 to 6Jun 9, 2025 to Mar 10, 2026
- Discretionary RAUM · $349M to $412MJun 9, 2025 to Mar 10, 2026
- HNW RAUM · $234M to $281MJun 9, 2025 to Mar 10, 2026
- Individual RAUM · $115M to $130MJun 9, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $21.0M to $22.3MJun 9, 2025 to Mar 10, 2026
- Pension RAUM · $15.5M to $16.2MJun 9, 2025 to Mar 10, 2026
- RAUM · $370M to $434MJun 9, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 1-10Mar 21, 2025 to Jun 9, 2025
- Accounts · 1,682 to 1,930Aug 23, 2024 to Mar 21, 2025
- Charity clients · 2.0 to unsetAug 23, 2024 to Mar 21, 2025
- Corporate clients · 3.0 to unsetAug 23, 2024 to Mar 21, 2025
- HNW clients · 179 to 148Aug 23, 2024 to Mar 21, 2025
- Individual clients · 303 to 423Aug 23, 2024 to Mar 21, 2025
- Pension plan clients · 13 to 9Aug 23, 2024 to Mar 21, 2025
- Assets in custody · $125M to $103MAug 23, 2024 to Mar 21, 2025
- Discretionary RAUM · $300M to $349MAug 23, 2024 to Mar 21, 2025
- HNW RAUM · $231M to $234MAug 23, 2024 to Mar 21, 2025
- Individual RAUM · $61.9M to $115MAug 23, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $26.9M to $21.0MAug 23, 2024 to Mar 21, 2025
- Pension RAUM · $13.5M to $15.5MAug 23, 2024 to Mar 21, 2025
- RAUM · $327M to $370MAug 23, 2024 to Mar 21, 2025
- Accounts · 1,393 to 1,682Nov 8, 2023 to Mar 19, 2024
- Advisory employees · 10 to 8Nov 8, 2023 to Mar 19, 2024
- BD registered reps · 5 to 4Nov 8, 2023 to Mar 19, 2024
- Corporate clients · 2 to 3Nov 8, 2023 to Mar 19, 2024
- HNW clients · 128 to 179Nov 8, 2023 to Mar 19, 2024
- Individual clients · 239 to 303Nov 8, 2023 to Mar 19, 2024
- Pension plan clients · 7 to 13Nov 8, 2023 to Mar 19, 2024
- Assets in custody · $70.8M to $125MNov 8, 2023 to Mar 19, 2024
- State-registered IARs · 10 to 8Nov 8, 2023 to Mar 19, 2024
- Discretionary RAUM · $210M to $300MNov 8, 2023 to Mar 19, 2024
- HNW RAUM · $167M to $231MNov 8, 2023 to Mar 19, 2024
Signals
8 dated events
- Jonathan David Mcalister left Plan A Wealth, Llc for Integrity Road Wealth Partners Llc (registered 2025-12-01)Nov 28, 2025 · Advisor changed firm · fact
- Shane Foster left Plan A Wealth, Llc for Victory Wealth Services, Llc (registered 2025-09-30)Jul 1, 2025 · Advisor changed firm · fact
- Christian Duraine Classen left Plan A Wealth, Llc for 402 Financial (registered 2024-07-09)Jul 8, 2024 · Advisor changed firm · fact
- Joseph Fowler left Plan A Wealth, Llc for 402 Financial (registered 2024-07-09)Jul 8, 2024 · Advisor changed firm · fact
- 2 advisors left Plan A Wealth, LLC (Lincoln, NE) for 402 Financial on the same dayJul 8, 2024 · Team lift-out · derived
- Michael Andrew Krause left Plan A Wealth, Llc for Teckmeyer Financial Services, L.L.C. (registered 2023-07-12)Jun 30, 2023 · Advisor changed firm · fact
- Lynn Becky Wiegand (Chief Compliance Officer) appeared on Schedule A of Plan A Wealth, LlcAug 9, 2019 · Control person joined · fact
- Plan A Wealth, Llc filed its initial SEC registration (Form ADV)Mar 1, 2017 · 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@planawm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 402-975-8007reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 402-975-8008reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 740-722-0001reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/plan-a-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- planawm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 402-975-8008reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- planawm.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $62.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026