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
T•• P••••••• G••••
Legal name T•• A••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 23, 2018 · 24 filings
SEC status approved since Sep 20, 2018
RAUM
$291M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$277M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$72.9M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$291M as of Mar 24, 2026
Mar 11, 2019$106M then
HNW client RAUM$226M as of Mar 24, 2026
Mar 11, 2019$65.2M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 11, 20194 then
Employees (5.A)4 as of Mar 24, 2026
Mar 11, 20194 then
Private funds: no history
RAUM +24% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $72.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $382,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$226M78%
- Individuals$50.6M17%
- Pension and profit-sharing plans$12.8M4.4%
- Charitable organizations$1.7M0.6%
- Individual clients
- 192reported
- HNW clients
- 60reported
- Pension plan clients
- 14reported
- Charitable clients
- 1reported
- Accounts
- 761reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• B••••Chartered Financial Analyst | Northfield, Il | Sep 25, 2018 | 26 y | 3 |
| D••• G••••• B••••• | Northfield, Il | Sep 28, 2018 | 19 y | 1 |
| P••• S••••• S•••••Certified Financial Planner | Northfield, Il | Oct 11, 2018 | 22 y | 3 |
| M••••• K•••• J••••••••• | Northfield, Il | Jan 6, 2024 | 10 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
- P••• S••••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 11, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- D••• G••••• B••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 28, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• D•••• B•••• from D•• F••••••••• I•••Sep 25, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 24, 2019 · Northfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• D•••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- B•••••• D•••• G••••• · Principalcontrolsince 06/2018 · owns 25% to 50% of B••••• W••••• M•••••••••
- B••••• M••••••• D•••• · Principalcontrolsince 06/2018 · owns 25% to 50% of N• B•••• • A•••••••••
- S•••••• P•••• S••••• · Principalcontrolsince 06/2018 · owns 25% to 50% of S••••• F•••••••• C••••••••• L••
Entity owners
- B••••• W••••• M••••••••• · Memberdirect · owns 25% to 50%
- N• B•••• • A••••••••• · Memberdirect · owns 25% to 50%
- S••••• F•••••••• C••••••••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Northfield, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 727 to 761Sep 17, 2025 to Mar 24, 2026
- Charity clients · 2 to 1Sep 17, 2025 to Mar 24, 2026
- Corporate clients · 3 to 0Sep 17, 2025 to Mar 24, 2026
- HNW clients · 57 to 60Sep 17, 2025 to Mar 24, 2026
- Individual clients · 191 to 192Sep 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $223M to $279MSep 17, 2025 to Mar 24, 2026
- HNW RAUM · $165M to $226MSep 17, 2025 to Mar 24, 2026
- Individual RAUM · $57.0M to $50.6MSep 17, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $12.3M to $12.8MSep 17, 2025 to Mar 24, 2026
- Pension RAUM · $13.3M to $12.8MSep 17, 2025 to Mar 24, 2026
- RAUM · $236M to $291MSep 17, 2025 to Mar 24, 2026
- Accounts · 706 to 727Aug 22, 2024 to Mar 14, 2025
- Charity clients · 1 to 2Aug 22, 2024 to Mar 14, 2025
- Corporate clients · 2 to 3Aug 22, 2024 to Mar 14, 2025
- HNW clients · 56 to 57Aug 22, 2024 to Mar 14, 2025
- Individual clients · 157 to 191Aug 22, 2024 to Mar 14, 2025
- Pension plan clients · 16 to 14Aug 22, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Aug 22, 2024 to Mar 14, 2025
- Discretionary RAUM · $194M to $223MAug 22, 2024 to Mar 14, 2025
- HNW RAUM · $143M to $165MAug 22, 2024 to Mar 14, 2025
- Individual RAUM · $50.7M to $57.0MAug 22, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $13.4M to $12.3MAug 22, 2024 to Mar 14, 2025
- Pension RAUM · $13.1M to $13.3MAug 22, 2024 to Mar 14, 2025
- RAUM · $207M to $236MAug 22, 2024 to Mar 14, 2025
- Accounts · 608 to 706Mar 6, 2023 to Mar 25, 2024
- Corporate clients · 3 to 2Mar 6, 2023 to Mar 25, 2024
- HNW clients · 54 to 56Mar 6, 2023 to Mar 25, 2024
- Individual clients · 150 to 157Mar 6, 2023 to Mar 25, 2024
- Pension plan clients · 14 to 16Mar 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $183M to $194MMar 6, 2023 to Mar 25, 2024
- HNW RAUM · $135M to $143MMar 6, 2023 to Mar 25, 2024
- Individual RAUM · $47.7M to $50.7MMar 6, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $15.3M to $13.4MMar 6, 2023 to Mar 25, 2024
- Pension RAUM · $15.3M to $13.1MMar 6, 2023 to Mar 25, 2024
- RAUM · $199M to $207MMar 6, 2023 to Mar 25, 2024
- Accounts · 541 to 608Mar 7, 2022 to Mar 6, 2023
- HNW clients · 58 to 54Mar 7, 2022 to Mar 6, 2023
- Individual clients · 161 to 150Mar 7, 2022 to Mar 6, 2023
- Pension plan clients · 13 to 14Mar 7, 2022 to Mar 6, 2023
- Assets in custody · 12037209.0 to unsetMar 7, 2022 to Mar 6, 2023
Signals
1 dated events
- T•• P••••••• G•••• filed its initial SEC registration (Form ADV)Aug 23, 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.
How to reach
public business contact points only, each with its source
- Business email
- advisors@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-441-9400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/the-planning-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- planning-group.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-441-9400reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- planning-group.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- planning-group.com/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
- $72.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026