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

The Planned Approach

Former SEC-registered adviserKansas City, MissouriCRD 309276SEC 801-118945IAPD
Legal name The Planned Approach, Inc.
Latest filing Feb 18, 2021
First filing on the tape May 19, 2020 · 3 filings
RAUM
$266M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$266M as of Feb 18, 2021
May 19, 2020$206M then
HNW client RAUM$252M as of Feb 18, 2021
May 19, 2020$187M then
State-registered IARs (5.B.3)3 as of Feb 18, 2021
May 19, 20203 then
Employees (5.A)4 as of Feb 18, 2021
May 19, 20205 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 18, 2021; every figure names its basis
RAUM per advisor
$88.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$534,708derivedRAUM 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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$230M, 123 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$252M95%
  • Individuals$13.6M5.1%
Individual clients
29reported
HNW clients
94reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
497reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$230M for 123 clientsreported
Compensation
% of AUM, fixedreported
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
    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
      • Lyn Stephanie Guerin · Shareholder/Ceo/Chief Compliance Officercontrol
        since 10/2002 · owns 50% to 75%
      • Jeanne Kelly Hokanson · Shareholder/Presidentcontrol
        since 10/2002 · owns 25% to 50%
      • Diann Staci Peterson · Shareholder/Chief Operating Officercontrol
        since 09/2015 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 500 to 497
        Jun 24, 2020 to Feb 18, 2021
      • HNW clients · 87 to 94
        Jun 24, 2020 to Feb 18, 2021
      • Individual clients · 40 to 29
        Jun 24, 2020 to Feb 18, 2021
      • Assets in custody · $179M to $230M
        Jun 24, 2020 to Feb 18, 2021
      • Employees · 5 to 4
        Jun 24, 2020 to Feb 18, 2021
      • Discretionary RAUM · $206M to $266M
        Jun 24, 2020 to Feb 18, 2021
      • HNW RAUM · $187M to $252M
        Jun 24, 2020 to Feb 18, 2021
      • Individual RAUM · $19.0M to $13.6M
        Jun 24, 2020 to Feb 18, 2021
      • RAUM · $206M to $266M
        Jun 24, 2020 to Feb 18, 2021
      • Succession · true to false
        May 19, 2020 to Jun 24, 2020
      Signals
      2 dated events
      • The Planned Approach reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 19, 2020 · Succession (Item 4) · fact
      • The Planned Approach filed its initial SEC registration (Form ADV)
        May 19, 2020 · 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