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
Defined Financial Planning LLC
Latest filing Jun 10, 2025
First filing on the tape Jul 11, 2022 · 20 filings
SEC status approved since Sep 7, 2022
RAUM
$137M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
84%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$137M as of Jun 10, 2025
Mar 20, 2023$98.2M then
HNW client RAUM$92.8M as of Jun 10, 2025
Mar 20, 2023$58.5M then
State-registered IARs (5.B.3)4 as of Jun 10, 2025
Mar 20, 20235 then
Employees (5.A)5 as of Jun 10, 2025
Mar 20, 20235 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 5 to 4offices 1 to 0
Practice profile
derived from the filing of Jun 10, 2025; every figure names its basis
- RAUM per advisor
- $34.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $412,164derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 16%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
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $13.1M, 1 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)
- 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$92.8M68%
- Individuals$23.1M17%
- Charitable organizations$19.7M14%
- Pension and profit-sharing plans$1.7M1.2%
- Individual clients
- 74reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 333reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.1M for 1 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Samuel Vasquez Gaeta to MarinerNov 26, 2025 · RIA to affiliated broker-dealer or bank
- Brianna Nicole Hasbrook to MarinerNov 26, 2025 · RIA to affiliated broker-dealer or bank
- Keith Merwin Oslie to Osaic Wealth, Inc.Jul 5, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Brianna Nicole Hasbrook from Allworth Financial, L.P.Aug 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- Samuel Vasquez Gaeta from J. W. Cole Advisors, Inc.Sep 30, 2020 · RIA to RIA
- Keith Merwin Oslie from J. W. Cole Advisors, Inc.Sep 30, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Vasquez Samuel Gaeta · Chief Executive Officer, Chief Compliance Officer, Membercontrolsince 10/2020 · owns 75% or more
- Nicole Brianna Gutierrez · Director Of Operations, Membersince 07/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Novato, Ca | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Feb 27, 2025 to Jun 10, 2025
- Accounts · 255 to 333Jan 6, 2025 to Feb 27, 2025
- Charity clients · 1.0 to unsetJan 6, 2025 to Feb 27, 2025
- HNW clients · 21 to 30Jan 6, 2025 to Feb 27, 2025
- Individual clients · 76 to 74Jan 6, 2025 to Feb 27, 2025
- Pension plan clients · 4.0 to unsetJan 6, 2025 to Feb 27, 2025
- Assets in custody · $12.0M to $13.1MJan 6, 2025 to Feb 27, 2025
- Financial planning clients · 11-25 to 26-50Jan 6, 2025 to Feb 27, 2025
- Discretionary RAUM · $113M to $136MJan 6, 2025 to Feb 27, 2025
- HNW RAUM · $69.5M to $92.8MJan 6, 2025 to Feb 27, 2025
- Individual RAUM · $24.1M to $23.1MJan 6, 2025 to Feb 27, 2025
- Non-discretionary RAUM · $1.6M to $1.7MJan 6, 2025 to Feb 27, 2025
- Pension RAUM · $1.6M to $1.7MJan 6, 2025 to Feb 27, 2025
- RAUM · $114M to $137MJan 6, 2025 to Feb 27, 2025
- Advisory employees · 5 to 4May 23, 2024 to Nov 13, 2024
- State-registered IARs · 5 to 4May 23, 2024 to Nov 13, 2024
- Related insurance company · true to falseMay 23, 2024 to Nov 13, 2024
- Accounts · 291 to 255Jan 19, 2024 to Apr 29, 2024
- HNW clients · 20 to 21Jan 19, 2024 to Apr 29, 2024
- Assets in custody · unset to 12000034.0Jan 19, 2024 to Apr 29, 2024
- Custody of client assets · false to trueJan 19, 2024 to Apr 29, 2024
- HQ city · ALAMEDA to SAN RAFAELJan 19, 2024 to Apr 29, 2024
- Other offices · 1 to 0Jan 19, 2024 to Apr 29, 2024
- Discretionary RAUM · $102M to $113MJan 19, 2024 to Apr 29, 2024
- HNW RAUM · $59.9M to $69.5MJan 19, 2024 to Apr 29, 2024
- Individual RAUM · $22.8M to $24.1MJan 19, 2024 to Apr 29, 2024
- Non-discretionary RAUM · $1.7M to $1.6MJan 19, 2024 to Apr 29, 2024
- Pension RAUM · $1.7M to $1.6MJan 19, 2024 to Apr 29, 2024
- RAUM · $103M to $114MJan 19, 2024 to Apr 29, 2024
- Accounts · 266 to 291May 4, 2023 to Jan 19, 2024
- Corporate clients · 1 to 0May 4, 2023 to Jan 19, 2024
- Individual clients · 77 to 76May 4, 2023 to Jan 19, 2024
- Financial planning clients · 1-10 to 11-25May 4, 2023 to Jan 19, 2024
- Discretionary RAUM · $67.6M to $102MMay 4, 2023 to Jan 19, 2024
- HNW RAUM · $58.5M to $59.9MMay 4, 2023 to Jan 19, 2024
- Individual RAUM · $18.9M to $22.8MMay 4, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $30.6M to $1.7MMay 4, 2023 to Jan 19, 2024
- Pension RAUM · $1.7M to $1.7MMay 4, 2023 to Jan 19, 2024
- RAUM · $98.2M to $103MMay 4, 2023 to Jan 19, 2024
- Accounts · 259 to 266Sep 14, 2022 to Mar 20, 2023
Signals
10 dated events
- Defined Financial Planning Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $137.3M)Dec 20, 2025 · Left the SEC roster · derived
- Samuel Vasquez Gaeta left Defined Financial Planning Llc for Mariner (registered 2025-11-04)Nov 26, 2025 · Advisor changed firm · fact
- Brianna Nicole Hasbrook left Defined Financial Planning Llc for Mariner (registered 2025-11-04)Nov 26, 2025 · Advisor changed firm · fact
- 2 advisors left Defined Financial Planning LLC (Novato, CA) for Mariner on the same dayNov 26, 2025 · Team lift-out · derived
- Gregory Michael Smith (Director Of Tax Planning) no longer on Schedule A of Defined Financial Planning Llc (listed 2024-04-29, absent 2024-05-23)May 23, 2024 · Control person left · inference
- Jed Martel Cooper (Director Of Investments) no longer on Schedule A of Defined Financial Planning Llc (listed 2024-04-29, absent 2024-05-23)May 23, 2024 · Control person left · inference
- Gregory Michael Smith (Director Of Tax Planning) appeared on Schedule A of Defined Financial Planning LlcAug 9, 2022 · Control person joined · fact
- Jed Martel Cooper (Director Of Investments) appeared on Schedule A of Defined Financial Planning LlcAug 9, 2022 · Control person joined · fact
- Defined Financial Planning Llc filed its initial SEC registration (Form ADV)Jul 11, 2022 · First SEC registration · fact
- Keith Merwin Oslie left Defined Financial Planning Llc for Osaic Wealth, Inc. (registered 2024-06-28)Jul 5, 2022 · Advisor changed firm · 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