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.

Former SEC-registered adviser

Planners Alliance

Former SEC-registered adviserHolland, MichiganCRD 290575SEC 801-112051IAPD
Legal name Planners Alliance, LLC
Latest filing Jul 10, 2020
First filing on the tape Oct 18, 2017 · 16 filings
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$287M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
20 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$287M as of Mar 31, 2020
Mar 30, 2019$230M then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 31, 2020
Mar 15, 201819 then
Employees (5.A)20 as of Mar 31, 2020
Mar 15, 201819 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 20 to 20
Practice profile
derived from the filing of Jul 10, 2020; every figure names its basis
RAUM per advisor
$14.3MderivedRAUM 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
$84,348derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.7derived12 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$287M100%
Individual clients
1,713reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,398reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lee Janine Osterink · Ccocontrol
    since 05/2020 · owns 5% to 10%
  • Mark Steve Osterink · Managing Membercontrol
    since 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Perrysburg, OH5 employees
  • Meridian, ID2 employees
  • Fort Mill, SC2 employees
  • Bingham Farms, MI2 employees
  • Palm Bay, FL1 employees
  • Southfield, MI1 employees
  • , 1 employees
  • Farmingdale, ME1 employees
  • Hendersonville, NC1 employees
  • Nampa, ID1 employees
What changed
consecutive filings, newest first
  • Other offices · 12 to 11
    May 1, 2020 to Jul 10, 2020
  • Accounts · 2,874 to 3,398
    Aug 5, 2019 to Mar 31, 2020
  • BD registered reps · 0 to 1
    Aug 5, 2019 to Mar 31, 2020
  • Individual clients · 2,874 to 1,713
    Aug 5, 2019 to Mar 31, 2020
  • Insurance-licensed employees · 0 to 2
    Aug 5, 2019 to Mar 31, 2020
  • Financial planning clients · 1-10 to 11-25
    Aug 5, 2019 to Mar 31, 2020
  • Discretionary RAUM · $230M to $287M
    Aug 5, 2019 to Mar 31, 2020
  • Individual RAUM · $230M to $287M
    Aug 5, 2019 to Mar 31, 2020
  • RAUM · $230M to $287M
    Aug 5, 2019 to Mar 31, 2020
  • Other offices · 11 to 12
    Aug 1, 2019 to Aug 5, 2019
  • Accounts · 2,198 to 2,874
    Dec 11, 2018 to Mar 30, 2019
  • Advisory employees · 23 to 20
    Dec 11, 2018 to Mar 30, 2019
  • Advisory activities · 4 to 6
    Dec 11, 2018 to Mar 30, 2019
  • Individual clients · 1,472 to 2,874
    Dec 11, 2018 to Mar 30, 2019
  • Employees · 23 to 20
    Dec 11, 2018 to Mar 30, 2019
  • Financial planning clients · 0 to 1-10
    Dec 11, 2018 to Mar 30, 2019
  • State-registered IARs · 23 to 20
    Dec 11, 2018 to Mar 30, 2019
  • Other offices · 9 to 11
    Dec 11, 2018 to Mar 30, 2019
  • Discretionary RAUM · $165M to $230M
    Dec 11, 2018 to Mar 30, 2019
  • Individual RAUM · $177M to $230M
    Dec 11, 2018 to Mar 30, 2019
  • Non-discretionary RAUM · $11.8M to $0
    Dec 11, 2018 to Mar 30, 2019
  • RAUM · $177M to $230M
    Dec 11, 2018 to Mar 30, 2019
  • Accounts · unset to 2198.0
    Mar 15, 2018 to Apr 25, 2018
  • Advisory employees · 19 to 23
    Mar 15, 2018 to Apr 25, 2018
  • Individual clients · unset to 1472.0
    Mar 15, 2018 to Apr 25, 2018
  • Employees · 19 to 23
    Mar 15, 2018 to Apr 25, 2018
  • State-registered IARs · 19 to 23
    Mar 15, 2018 to Apr 25, 2018
  • Discretionary RAUM · unset to 165366769.0
    Mar 15, 2018 to Apr 25, 2018
  • Individual RAUM · unset to 177161649.0
    Mar 15, 2018 to Apr 25, 2018
  • Non-discretionary RAUM · unset to 11794880.0
    Mar 15, 2018 to Apr 25, 2018
  • RAUM · unset to 177161649.0
    Mar 15, 2018 to Apr 25, 2018
  • Accounts · 0.0 to unset
    Jan 25, 2018 to Mar 15, 2018
  • Advisory employees · 1 to 19
    Jan 25, 2018 to Mar 15, 2018
  • Employees · 1 to 19
    Jan 25, 2018 to Mar 15, 2018
  • Insurance-licensed employees · 1 to 0
    Jan 25, 2018 to Mar 15, 2018
  • State-registered IARs · 1 to 19
    Jan 25, 2018 to Mar 15, 2018
  • Other offices · 0 to 9
    Jan 25, 2018 to Mar 15, 2018
  • Discretionary RAUM · 0.0 to unset
    Jan 25, 2018 to Mar 15, 2018
  • Non-discretionary RAUM · 0.0 to unset
    Jan 25, 2018 to Mar 15, 2018
  • RAUM · 0.0 to unset
    Jan 25, 2018 to Mar 15, 2018
Signals
5 dated events
  • Lyn Katie Koeman (Chief Compliance Officer) no longer on Schedule A of Planners Alliance (listed 2020-03-31, absent 2020-05-01)
    May 1, 2020 · Control person left · inference
  • Lyn Katie Koeman (Chief Compliance Officer) appeared on Schedule A of Planners Alliance
    Mar 30, 2019 · Control person joined · fact
  • Planners Alliance reported 9 offices beyond its principal office, up from 0 (2018-01-25 to 2018-03-15)
    Mar 15, 2018 · Office count change · derived
  • Planners Alliance reported 19 state-registered advisory representatives, up from 1 (2018-01-25 to 2018-03-15)
    Mar 15, 2018 · Advisor headcount change · derived
  • Planners Alliance filed its initial SEC registration (Form ADV)
    Oct 18, 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.
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
Former SEC-registered adviserderiveda 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