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
Wealthplan Investment Management LLC
Latest filing Aug 24, 2026
First filing on the tape Nov 18, 2020 · 46 filings
SEC status approved since Dec 18, 2020
RAUM
$2.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
86%
$1.9B individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
34
14 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
2
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$2.2B as of Aug 24, 2026
Mar 31, 2021$0 then
HNW client RAUM$1.2B as of Aug 24, 2026
Mar 31, 2021$0 then
State-registered IARs (5.B.3)14 as of Aug 24, 2026
Mar 31, 20213 then
Employees (5.A)34 as of Aug 24, 2026
Mar 31, 202114 then
Private funds2 as of Aug 24, 2026
Jan 5, 20261 then
RAUM +39% over the last fiscal year+36% a year over threeIARs 14 to 14offices 3 to 4
Practice profile
derived from the filing of Aug 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $75.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $411,300derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $115M, 530 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B54%
- Individuals$716M33%
- Pension and profit-sharing plans$207M9.5%
- Charitable organizations$61.2M2.8%
- Corporations and businesses$28.0M1.3%
- State and municipal entities$4.3M0.2%
- Individual clients
- 1,693reported
- HNW clients
- 375reported
- Pension plan clients
- 52reported
- Charitable clients
- 9reported
- Accounts
- 5,313reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 530 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Wade Cleve Behlen | Omaha, Ne | Jan 4, 2021 | 19 y | 3 |
| Brent Thomas Omara | Omaha, Ne | Jan 4, 2021 | 25 y | 3 |
| Mark A Powers | Wilmington, De | Aug 17, 2022 | 19 y | 0 |
| Wayne David WagnerChartered Financial Consultant | Omaha, Ne | Aug 22, 2022 | 30 y | 3 |
| Kevin Eugene O'MaraCertified Financial Planner | Omaha, Ne | Aug 24, 2022 | 20 y | 3 |
| Landon Lee Troyer | Omaha, Ne | Aug 16, 2023 | 15 y | 2 |
| Michael Leo Shea | Omaha, Ne | Nov 8, 2023 | 21 y | 4 |
| Brenden Christopher Tauber | Omaha, Ne | Jan 2, 2024 | 13 y | 0 |
| Michael Patrick BrewerChartered Financial Analyst | Austin, Tx | Jan 3, 2024 | 18 y | 3 |
| James Ferrell Obrien | Omaha, Ne | Jul 12, 2024 | 17 y | 4 |
| Dillon Troy Schutte | Omaha, Ne | Jul 12, 2024 | 10 y | 1 |
| Ward Cameron Behlen | Omaha, Ne | Jul 22, 2024 | 22 y | 0 |
| Wyatt James Behlen | Omaha, Ne | Jul 24, 2024 | 10 y | 0 |
| Jeremy Royal ArmagostCertified Financial Planner | Kearney, Ne | Jul 31, 2024 | 18 y | 4 |
| James B Munson | Garnet Valley, Pa | Sep 4, 2024 | 12 y | 0 |
| Christopher Maxime SheaChartered Financial Analyst | Omaha, Ne | Oct 15, 2024 | 25 y | 5 |
| Weston Wade Behlen | Omaha, Ne | Nov 4, 2024 | 14 y | 0 |
| Paul James PittmanCertified Financial Planner | Omaha, Ne | Dec 18, 2024 | 31 y | 4 |
| Austin Gregory Miller | Omaha, Ne | Apr 3, 2025 | 12 y | 1 |
| Andrew Mason DintamanCertified Financial Planner | Rancho Santa Margarita, Ca | May 1, 2025 | 13 y | 2 |
| Brent Allen Mccune | Overland Park, Ks | May 1, 2025 | 41 y | 5 |
| Zachary Scott LeedomCertified Financial Planner | Omaha, Ne | May 1, 2025 | 10 y | 4 |
| Dante Anthony Smith | Omaha, Ne | May 14, 2025 | 12 y | 5 |
| Randall Scott Coble | Overland Park, Ks | May 16, 2025 | 34 y | 5 |
| Alyse Pflanz | Kearney, Ne | Jul 15, 2025 | 12 y | 0 |
| Langston Washington | Omaha, Ne | Feb 10, 2026 | 12 y | 10 |
| Michael PrestifilippoCertified Financial Planner | Morristown, Nj | Jun 3, 2026 | 18 y | 3 |
| Robert William TaylorCertified Financial Planner | Morristown, Nj | Jun 3, 2026 | 32 y | 4 |
| Robert Charles Keating | Omaha, Ne | Jun 3, 2026 | 26 y | 6 |
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 headcount3 left over 36 months
Left, latest
- Erik William Ogard to Cwc Advisors, LLCDec 31, 2024 · RIA to RIA
- David Joseph Ricchini to Apollon Wealth Management, LLCJan 3, 2024 · RIA to RIA
- Nicholas Codola to Orion Portfolio Solutions, LLCOct 20, 2023 · RIA to affiliated broker-dealer or bank
- Joshua Aaron Mueller to Wells Fargo AdvisorsApr 10, 2023 · RIA to wirehouse
- Dustin Mitchell Dorhout to Pgi Wealth ManagementDec 17, 2021 · RIA to RIA
- Jack Joseph Holmes to Bridges Investment Management IncApr 23, 2021 · Other
Joined, latest
- Randall Scott Coble from Wealthplan PartnersMay 16, 2025 · RIA to RIA
- Dante Anthony Smith from Triad Wealth Partners, LLCMay 14, 2025 · RIA to RIA
- Andrew Mason Dintaman from OnedigitalMay 1, 2025 · Other
- Zachary Scott Leedom from OnedigitalMay 1, 2025 · Other
- Brent Allen Mccune from Wealthplan PartnersMay 1, 2025 · RIA to RIA
- Austin Gregory Miller from Wealthplan PartnersApr 3, 2025 · RIA to RIA
- Paul James Pittman from Wealthplan PartnersDec 18, 2024 · RIA to RIA
- Christopher Maxime Shea from Wealthsource?Oct 15, 2024 · RIA to RIA
- Jeremy Royal Armagost from Wealthplan PartnersJul 31, 2024 · RIA to RIA
- James Ferrell Obrien from Wealthplan PartnersJul 12, 2024 · RIA to RIA
- Dillon Troy Schutte from Wealthplan PartnersJul 12, 2024 · RIA to RIA
- Michael Patrick Brewer from Wealthsource?Jan 3, 2024 · RIA to RIA
- Michael Leo Shea from Wealthplan PartnersNov 8, 2023 · Other
- Landon Lee Troyer from Sequent Planning, LLCAug 16, 2023 · RIA to RIA
- David Joseph Ricchini from Orion Portfolio Solutions, LLCFeb 7, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Wealthplan Income Fund I LP | $0 | 0 | Aug 24, 2026 | |
| Wealthplan Growth Equity Fund, LP | $0 | 0 | Aug 24, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Cleve Wade Behlen · Managing Member & Executive Vice President Retirement Planscontrolsince 10/2020 · owns less than 5%
- Patrick Michael Brewer · Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- Arthur Todd Feltz · Managing Member & Chairmancontrolsince 10/2020 · owns less than 5%
- Faye Sarah Kennelly · Chief Operating Officercontrolsince 12/2024 · owns less than 5%
- Thomas Mark Lasswell · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- Thomas Brent Omara · Managing Member & Chief Revenue Officer Vice President Retirement Planscontrolsince 10/2020 · owns less than 5%
- Maxime Christopher Shea · Chief Investment Officercontrolsince 12/2024 · owns less than 5%
- Cleve Wade Behlen · Partnercontrolsince 12/2021 · owns 25% to 50% of Wealthplan Group, LLC
- Arthur Todd Feltz · Partnercontrolsince 12/2021 · owns 25% to 50% of Wealthplan Group, LLC
- Thomas Brent Omara · Partnercontrolsince 12/2021 · owns 25% to 50% of Wealthplan Group, LLC
- William Erik Ogard · Chief Investment Officersince 12/2021 · owns less than 5%
Entity owners
- Wealthplan Group, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Wealthplan Partnersinvestment advisernRAUM $1.1B
Advisers that list Wealthplan Investment Management LLC as a related person
- 305026 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 27 | 4 | 0 | ||
| Morristown, Nj | 3 | 3 | 0 | ||
| Kearney, Ne | 2 | 0 | 0 | ||
| Overland Park, Ks | 2 | 0 | 0 | ||
| Wilmington, De | 2 | 0 | 0 | ||
| Gig Harbor, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kearney, NE1 employees
- Wilmington, DE1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 24, 2026Lasswell, Mark, Thomas (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-09-03 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 24, 2026SHEA, CHRISTOPHER, MAXIME (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-09-03 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 24, 2026KENNELLY, SARAH, FAYE (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-09-03 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 24, 2026FELTZ, TODD, ARTHUR (MANAGING MEMBER & CHAIRMAN) left Schedule A between the filings of 2024-09-03 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 24, 2026BEHLEN, WADE, CLEVE (MANAGING MEMBER & EXECUTIVE VICE PRESIDENT RETIREMENT PLANS) left Schedule A between the filings of 2024-09-03 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Private funds · 1 to 2Jun 22, 2026 to Aug 24, 2026
- Accounts · 3,957 to 5,313Nov 7, 2025 to Jan 5, 2026
- Charity clients · 8 to 9Nov 7, 2025 to Jan 5, 2026
- Corporate clients · 16 to 15Nov 7, 2025 to Jan 5, 2026
- HNW clients · 196 to 375Nov 7, 2025 to Jan 5, 2026
- Individual clients · 1,317 to 1,693Nov 7, 2025 to Jan 5, 2026
- Pension plan clients · 34 to 52Nov 7, 2025 to Jan 5, 2026
- Assets in custody · $1.4B to $115MNov 7, 2025 to Jan 5, 2026
- Employees · 40 to 34Nov 7, 2025 to Jan 5, 2026
- Financial planning clients · 0 to 251-500Nov 7, 2025 to Jan 5, 2026
- Private funds · unset to 1Nov 7, 2025 to Jan 5, 2026
- Discretionary RAUM · $1.5B to $2.1BNov 7, 2025 to Jan 5, 2026
- HNW RAUM · $634M to $1.2BNov 7, 2025 to Jan 5, 2026
- Individual RAUM · $746M to $716MNov 7, 2025 to Jan 5, 2026
- Non-discretionary RAUM · $42.6M to $43.3MNov 7, 2025 to Jan 5, 2026
- Pension RAUM · $119M to $207MNov 7, 2025 to Jan 5, 2026
- RAUM · $1.6B to $2.2BNov 7, 2025 to Jan 5, 2026
- Financial planning clients · 0 to 0Jun 21, 2025 to Nov 7, 2025
- Other offices · 3 to 4May 29, 2025 to Jun 21, 2025
- Accounts · 2,114 to 3,957Jan 3, 2025 to Mar 27, 2025
- Advisory employees · 8 to 14Jan 3, 2025 to Mar 27, 2025
- Advisory activities · 7 to 6Jan 3, 2025 to Mar 27, 2025
- Corporate clients · 12 to 16Jan 3, 2025 to Mar 27, 2025
- HNW clients · 147 to 196Jan 3, 2025 to Mar 27, 2025
- Individual clients · 607 to 1,317Jan 3, 2025 to Mar 27, 2025
- Pension plan clients · 28 to 34Jan 3, 2025 to Mar 27, 2025
- Assets in custody · $420M to $1.4BJan 3, 2025 to Mar 27, 2025
- Employees · 29 to 40Jan 3, 2025 to Mar 27, 2025
- State-registered IARs · 8 to 14Jan 3, 2025 to Mar 27, 2025
- Discretionary RAUM · $965M to $1.5BJan 3, 2025 to Mar 27, 2025
- HNW RAUM · $479M to $634MJan 3, 2025 to Mar 27, 2025
- Individual RAUM · $352M to $746MJan 3, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $23.9M to $42.6MJan 3, 2025 to Mar 27, 2025
- Pension RAUM · $92.9M to $119MJan 3, 2025 to Mar 27, 2025
- RAUM · $989M to $1.6BJan 3, 2025 to Mar 27, 2025
- Other offices · 2 to 3Dec 9, 2024 to Dec 10, 2024
- Other offices · 1 to 2Oct 15, 2024 to Dec 9, 2024
- Accounts · 1,096 to 2,114Dec 11, 2023 to Mar 28, 2024
- Advisory employees · 12 to 8Dec 11, 2023 to Mar 28, 2024
- Charity clients · 7 to 8Dec 11, 2023 to Mar 28, 2024
Signals
16 dated events
- Wealthplan Investment Management Llc reported RAUM $2.2B, up 39% from $1.6B (2025-11-07 to 2026-01-05)Jan 5, 2026 · RAUM change · derived
- Wealthplan Investment Management Llc reported RAUM $1.6B, up 59% from $988.9M (2025-01-03 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Erik William Ogard left Wealthplan Investment Management Llc for Cwc Advisors, Llc (registered 2025-02-06)Dec 31, 2024 · Advisor changed firm · fact
- Richard Kevin Zemann (Chief Compliance Officer) no longer on Schedule A of Wealthplan Investment Management Llc (listed 2024-03-28, absent 2024-09-03)Sep 3, 2024 · Control person left · inference
- Patrick Michael Brewer (Chief Compliance Officer) appeared on Schedule A of Wealthplan Investment Management LlcSep 3, 2024 · Control person joined · fact
- David Joseph Ricchini left Wealthplan Investment Management Llc for Apollon Wealth Management, Llc (registered 2025-10-28)Jan 3, 2024 · Advisor changed firm · fact
- Nicholas Codola left Wealthplan Investment Management Llc for Orion Portfolio Solutions, Llc (registered 2023-12-01)Oct 20, 2023 · Advisor changed firm · fact
- Richard Kevin Zemann (Chief Compliance Officer) appeared on Schedule A of Wealthplan Investment Management LlcSep 7, 2023 · Control person joined · fact
- Matthew Moreno (Chief Compliance Officer) no longer on Schedule A of Wealthplan Investment Management Llc (listed 2023-06-08, absent 2023-09-07)Sep 7, 2023 · Control person left · inference
- Joshua Aaron Mueller left Wealthplan Investment Management Llc for Wells Fargo Advisors (registered 2023-05-02)Apr 10, 2023 · Advisor changed firm · fact
- Wealthplan Investment Management Llc reported RAUM $869.7M, up 38% from $628.2M (2022-11-10 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Matthew Moreno (Chief Compliance Officer) appeared on Schedule A of Wealthplan Investment Management LlcAug 26, 2022 · Control person joined · fact
- Michael Christopher Mcmillan (Chief Compliance Officer) no longer on Schedule A of Wealthplan Investment Management Llc (listed 2022-08-17, absent 2022-08-26)Aug 26, 2022 · Control person left · inference
- James Steven Wruble (Managing Member) no longer on Schedule A of Wealthplan Investment Management Llc (listed 2021-12-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Joseph Timothy Feehan (Managing Member) no longer on Schedule A of Wealthplan Investment Management Llc (listed 2021-12-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Wealthplan Investment Management Llc filed its initial SEC registration (Form ADV)Nov 18, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Wealthplan Investment Management LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 402-691-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 844-564-6977reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wealthplan-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- wealthplan.groupreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 402-691-0200reportedpublic record, Form ADV, Aug 24, 2026
- Contact form
- wealthplangroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wealthplangroup.com/our-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
- $75.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026