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
P••••••• F••••••••• I•••
Latest filing Jul 27, 2026
First filing on the tape Nov 21, 2017 · 16 filings
SEC status approved since Sep 9, 2024
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$29.3M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$176M as of Jul 27, 2026
Jan 30, 2018$0 then
HNW client RAUM$107M as of Jul 27, 2026
Jan 30, 2018$0 then
State-registered IARs (5.B.3)6 as of Jul 27, 2026
Jan 30, 20184 then
Employees (5.A)8 as of Jul 27, 2026
Jan 30, 20186 then
Private funds: no history
RAUM +40% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Jul 27, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $29.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $318,012derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $126MreportedItem 5.I
- Custody
- $7.2M, 21 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M61%
- Individuals$68.9M39%
- Corporations and businesses$198,2000.1%
- Individual clients
- 224reported
- HNW clients
- 83reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 553reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $7.2M for 21 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C•••••Certified Financial Planner | Gaithersburg, Md | Dec 21, 2017 | 21 y | 2 |
| M•••••• C•••••• M••••••• | Gaithersburg, Md | Jan 2, 2018 | 30 y | 5 |
| Z•••••• T••••• P••••Certified Financial Planner | Gaithersburg, Md | Nov 29, 2023 | 11 y | 0 |
| R••••• L•••• B••• | Gaithersburg, Md | Dec 18, 2023 | 25 y | 5 |
| S•••••• S•••• S••••Certified Financial Planner | Gaithersburg, Md | Jan 20, 2025 | 24 y | 0 |
| S••• M• F••••Certified Financial Planner, Chartered Financial Analyst | Gaithersburg, Md | Mar 26, 2025 | 25 y | 2 |
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
- S••• M• F•••• from T••••• C•••••• M••••••••• L••Mar 26, 2025 · Other
- R••••• L•••• B••• from L•• F•••••••• L••Dec 18, 2023 · RIA to a newly registered adviser
- M•••••• C•••••• M••••••• from R••••••• F•••••••• S•••••••••Jan 2, 2018 · Other
- R•••••• C••••• from L•• F•••••••• L••Dec 21, 2017 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••May 9, 2018 · Silver Spring, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• · Ceo / Ccocontrolsince 08/2017 · 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 |
|---|---|---|---|---|---|
| Gaithersburg, Md · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Monica, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $125,956,168 to $175,860,431 (+40.0%) between the annual amendments of 2025-03-22 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 538 to 553Nov 24, 2025 to Mar 31, 2026
- Corporate clients · 0 to 2Nov 24, 2025 to Mar 31, 2026
- HNW clients · 65 to 83Nov 24, 2025 to Mar 31, 2026
- Individual clients · 190 to 224Nov 24, 2025 to Mar 31, 2026
- Assets in custody · unset to 7172222.0Nov 24, 2025 to Mar 31, 2026
- Custody of client assets · false to trueNov 24, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Nov 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $126M to $176MNov 24, 2025 to Mar 31, 2026
- HNW RAUM · $72.8M to $107MNov 24, 2025 to Mar 31, 2026
- Individual RAUM · $53.2M to $68.9MNov 24, 2025 to Mar 31, 2026
- RAUM · $126M to $176MNov 24, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 22, 2025 to Nov 24, 2025
- Accounts · 424 to 538Dec 24, 2024 to Mar 22, 2025
- Advisory employees · 5 to 6Dec 24, 2024 to Mar 22, 2025
- BD registered reps · 5 to 0Dec 24, 2024 to Mar 22, 2025
- HNW clients · 51 to 65Dec 24, 2024 to Mar 22, 2025
- Individual clients · 188 to 190Dec 24, 2024 to Mar 22, 2025
- Employees · 6 to 8Dec 24, 2024 to Mar 22, 2025
- State-registered IARs · 1 to 6Dec 24, 2024 to Mar 22, 2025
- Discretionary RAUM · $111M to $126MDec 24, 2024 to Mar 22, 2025
- HNW RAUM · $57.4M to $72.8MDec 24, 2024 to Mar 22, 2025
- Individual RAUM · $53.5M to $53.2MDec 24, 2024 to Mar 22, 2025
- RAUM · $111M to $126MDec 24, 2024 to Mar 22, 2025
- Accounts · 0 to 424Jan 30, 2018 to Aug 6, 2024
- Advisory employees · 4 to 5Jan 30, 2018 to Aug 6, 2024
- BD registered reps · 4 to 5Jan 30, 2018 to Aug 6, 2024
- Charity clients · unset to 0.0Jan 30, 2018 to Aug 6, 2024
- Corporate clients · unset to 0.0Jan 30, 2018 to Aug 6, 2024
- HNW clients · unset to 51.0Jan 30, 2018 to Aug 6, 2024
- Individual clients · unset to 188.0Jan 30, 2018 to Aug 6, 2024
- Pension plan clients · unset to 0.0Jan 30, 2018 to Aug 6, 2024
- Pooled vehicle clients · unset to 0.0Jan 30, 2018 to Aug 6, 2024
- Insurance-licensed employees · 4 to 0Jan 30, 2018 to Aug 6, 2024
- State-registered IARs · 4 to 1Jan 30, 2018 to Aug 6, 2024
- Discretionary RAUM · $0 to $111MJan 30, 2018 to Aug 6, 2024
- HNW RAUM · $0 to $57.4MJan 30, 2018 to Aug 6, 2024
- Individual RAUM · $0 to $53.5MJan 30, 2018 to Aug 6, 2024
- RAUM · $0 to $111MJan 30, 2018 to Aug 6, 2024
- Accounts · unset to 0.0Jan 25, 2018 to Jan 30, 2018
- Discretionary RAUM · unset to 0.0Jan 25, 2018 to Jan 30, 2018
Signals
1 dated events
- P••••••• F••••••••• I••• filed its initial SEC registration (Form ADV)Nov 21, 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@planvestfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sonny.saini@planvestfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cynthia.garduno@planvestfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tosh.cu@planvestfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-930-3774reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-606-6091reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-660-7118reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (301) 977-7123reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- planvestfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- planvestfinancial.com/teamreportedpublished 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
- $29.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026