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

Life Planning Alliance, LLC

Former SEC-registered adviserPurchase, New YorkCRD 297131SEC 801-113434IAPD
Latest filing Jun 19, 2020
First filing on the tape May 15, 2018 · 7 filings
RAUM
$26.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$26.0M as of Mar 30, 2020
Mar 29, 2019$23.2M then
HNW client RAUM$25.6M as of Mar 30, 2020
Mar 29, 2019$20.8M then
State-registered IARs (5.B.3)4 as of Mar 30, 2020
Mar 29, 20194 then
Employees (5.A)5 as of Mar 30, 2020
Mar 29, 20196 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 19, 2020; every figure names its basis
RAUM per advisor
$6.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$683,187derivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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 institutionsreportedItem 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
  • 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
  • High-net-worth individuals$25.6M98%
  • Individuals$401,0341.5%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
38reported
Financial planning clients
1-10reported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Scott Mitchell Brill · Managercontrol
      since 03/2017 · owns less than 5%
    • John Anthony Destefano · Managercontrol
      since 03/2017 · owns less than 5%
    • John Ronald Eagar · Managercontrol
      since 03/2017 · owns less than 5%
    • C Louis Grassi · Managercontrol
      since 03/2017 · owns less than 5%
    • Joseph Robert Sypher · Chief Compliance Officercontrol
      since 05/2018 · owns less than 5%
    • C Louis Grassi · Shareholdercontrol
      since 01/2008 · owns 75% or more of Grassi Group, Inc.
    Entity owners
    • Altium Wealth Management LLC · Member
      direct · owns 50% to 75%
    • Wealth Solutions, LLC · Member
      direct · owns 50% to 75%
    • Grassi Group, Inc. · Member
      indirect · owns 75% or more of Wealth Solutions, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 9 to 38
      May 23, 2019 to Mar 30, 2020
    • Charity clients · unset to 0.0
      May 23, 2019 to Mar 30, 2020
    • Corporate clients · unset to 0.0
      May 23, 2019 to Mar 30, 2020
    • Pension plan clients · unset to 0.0
      May 23, 2019 to Mar 30, 2020
    • Pooled vehicle clients · unset to 0.0
      May 23, 2019 to Mar 30, 2020
    • Assets in custody · $4.9M to $0
      May 23, 2019 to Mar 30, 2020
    • Custody of client assets · true to false
      May 23, 2019 to Mar 30, 2020
    • Employees · 6 to 5
      May 23, 2019 to Mar 30, 2020
    • Financial planning clients · 11-25 to 1-10
      May 23, 2019 to Mar 30, 2020
    • Discretionary RAUM · $23.2M to $26.0M
      May 23, 2019 to Mar 30, 2020
    • HNW RAUM · $20.8M to $25.6M
      May 23, 2019 to Mar 30, 2020
    • Individual RAUM · $316,668 to $401,034
      May 23, 2019 to Mar 30, 2020
    • RAUM · $23.2M to $26.0M
      May 23, 2019 to Mar 30, 2020
    • Assets in custody · $4 to $4.9M
      Mar 29, 2019 to May 23, 2019
    • Accounts · 0 to 9
      Dec 20, 2018 to Mar 29, 2019
    • Advisory employees · 0 to 5
      Dec 20, 2018 to Mar 29, 2019
    • HNW clients · unset to 6.0
      Dec 20, 2018 to Mar 29, 2019
    • Assets in custody · unset to 4.0
      Dec 20, 2018 to Mar 29, 2019
    • Custody of client assets · false to true
      Dec 20, 2018 to Mar 29, 2019
    • Employees · 1 to 6
      Dec 20, 2018 to Mar 29, 2019
    • Insurance-licensed employees · 0 to 4
      Dec 20, 2018 to Mar 29, 2019
    • Financial planning clients · 0 to 11-25
      Dec 20, 2018 to Mar 29, 2019
    • State-registered IARs · 0 to 4
      Dec 20, 2018 to Mar 29, 2019
    • Discretionary RAUM · $0 to $23.2M
      Dec 20, 2018 to Mar 29, 2019
    • HNW RAUM · $0 to $20.8M
      Dec 20, 2018 to Mar 29, 2019
    • Individual RAUM · $0 to $316,668
      Dec 20, 2018 to Mar 29, 2019
    • RAUM · $0 to $23.2M
      Dec 20, 2018 to Mar 29, 2019
    Signals
    1 dated events
    • Life Planning Alliance, Llc filed its initial SEC registration (Form ADV)
      May 15, 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.
    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