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
Planrock Wealth Strategies, LLC
Legal name Planrock Investment Management, LLC
Latest filing May 26, 2026
First filing on the tape Jul 3, 2019 · 27 filings
SEC status approved since May 13, 2020
RAUM
$71.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$57.1M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$11.8M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$71.0M as of May 26, 2026
Mar 31, 2021$10.8M then
HNW client RAUM$16.0M as of May 26, 2026
Mar 31, 2021$10.8M then
State-registered IARs (5.B.3)0 as of May 26, 2026
Mar 31, 20210 then
Employees (5.A)7 as of May 26, 2026
Mar 31, 20214 then
Private funds: no history
RAUM +10% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $11.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $486,644derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, otherreportedItem 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
- Individuals$41.1M58%
- High-net-worth individuals$16.0M23%
- Investment companies$11.0M15%
- Corporations and businesses$2.0M2.8%
- Charitable organizations$971,0321.4%
- Individual clients
- 35reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 146reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.15 institutional_share=0.01 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 |
|---|---|---|---|---|
| Daniel S BanaszakChartered Financial Analyst | Brentwood, Tn | Apr 13, 2026 | 11 y | 1 |
| Pleshetta Juanita Loftin | Brentwood, Tn | Apr 13, 2026 | 31 y | 5 |
| Alexander Xerxes Pazdan | Brentwood, Tn | Apr 14, 2026 | 24 y | 1 |
| Angela Kay Moore | Brentwood, Tn | Apr 20, 2026 | 11 y | 1 |
| David Joe MooreCertified Financial Planner | Brentwood, Tn | Apr 20, 2026 | 31 y | 4 |
| Stephen Michael Hammers | Brentwood, Tn | Jul 16, 2026 | 30 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Stephen Michael Hammers from Compass Efficient Model Portfolios, LLCJul 16, 2026 · Other
- Pleshetta Juanita Loftin from Allstate Financial Advisors, LLCApr 25, 2025 · Other
- David Joe Moore from Compass Advisory Partners LLCMar 17, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Stephen Hammers · Cco / Managing Partner/Ciocontrolsince 07/2019 · 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 |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 6 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 13, 2026HNW share of RAUM moved from 0.0% to 23.0% between the annual amendments of 2025-04-29 and 2026-04-13peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 115 to 146Apr 29, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Apr 29, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Apr 29, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Apr 29, 2025 to Mar 31, 2026
- Corporate clients · unset to 2.0Apr 29, 2025 to Mar 31, 2026
- HNW clients · unset to 16.0Apr 29, 2025 to Mar 31, 2026
- HQ city · FRANKLIN to BRENTWOODApr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $64.4M to $71.0MApr 29, 2025 to Mar 31, 2026
- HNW RAUM · $0 to $16.0MApr 29, 2025 to Mar 31, 2026
- Individual RAUM · $51.8M to $41.1MApr 29, 2025 to Mar 31, 2026
- RAUM · $64.4M to $71.0MApr 29, 2025 to Mar 31, 2026
- RAUM · $27.3M to $64.4MMar 29, 2024 to Apr 29, 2025
- Accounts · 79 to 115Mar 29, 2024 to Apr 29, 2025
- Advisory employees · 3 to 4Mar 29, 2024 to Apr 29, 2025
- Business name · PLANROCK INVESTMENTS LLC to PLANROCK WEALTH STRATEGIES, LLCMar 29, 2024 to Apr 29, 2025
- Individual clients · 30 to 35Mar 29, 2024 to Apr 29, 2025
- Employees · 6 to 7Mar 29, 2024 to Apr 29, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Apr 29, 2025
- HQ city · BRENTWOOD to FRANKLINMar 29, 2024 to Apr 29, 2025
- Legal name · PLANROCK WEALTH MANAGEMENT, LLC to PLANROCK INVESTMENT MANAGEMENT, LLCMar 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $27.3M to $64.4MMar 29, 2024 to Apr 29, 2025
- Individual RAUM · $24.2M to $51.8MMar 29, 2024 to Apr 29, 2025
- Accounts · 80 to 79Mar 13, 2023 to Mar 29, 2024
- Advisory employees · 2 to 3Mar 13, 2023 to Mar 29, 2024
- Advisory activities · 2 to 3Mar 13, 2023 to Mar 29, 2024
- Employees · 2 to 6Mar 13, 2023 to Mar 29, 2024
- HQ city · FRANKLIN to BRENTWOODMar 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $24.3M to $27.3MMar 13, 2023 to Mar 29, 2024
- HNW RAUM · unset to 0.0Mar 13, 2023 to Mar 29, 2024
- Individual RAUM · $24.3M to $24.2MMar 13, 2023 to Mar 29, 2024
- Pension RAUM · unset to 0.0Mar 13, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 13, 2023 to Mar 29, 2024
- RAUM · $24.3M to $27.3MMar 13, 2023 to Mar 29, 2024
- Accounts · 83 to 80Mar 29, 2022 to Mar 13, 2023
- Advisory employees · 3 to 2Mar 29, 2022 to Mar 13, 2023
- Individual clients · unset to 30.0Mar 29, 2022 to Mar 13, 2023
- Employees · 3 to 2Mar 29, 2022 to Mar 13, 2023
- Legal name · PLANROCK INVESTMENTS LLC to PLANROCK WEALTH MANAGEMENT, LLCMar 29, 2022 to Mar 13, 2023
- Discretionary RAUM · $28.4M to $24.3MMar 29, 2022 to Mar 13, 2023
- HNW RAUM · 28367030.0 to unsetMar 29, 2022 to Mar 13, 2023
Signals
1 dated events
- Dividend Legacy Group filed its initial SEC registration (Form ADV)Jul 3, 2019 · 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
- support@planrock.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 417-459-1748reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-677-6025reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- planrock.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-677-6025reportedpublic record, Form ADV, May 26, 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
- $11.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026