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
Smp Financial Planning, LLC
Latest filing Dec 9, 2025
First filing on the tape May 31, 2022 · 4 filings
SEC status approved since Dec 2, 2025
RAUM
$64.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$62.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$32.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$64.4M as of Dec 9, 2025
Aug 4, 2022$4.8M then
HNW client RAUM$61.5M as of Dec 9, 2025
Aug 4, 2022$0 then
State-registered IARs (5.B.3)2 as of Dec 9, 2025
Aug 4, 20221 then
Employees (5.A)2 as of Dec 9, 2025
Aug 4, 20221 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 9, 2025; 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
- RAUM per advisor
- $32.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $825,476derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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, 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
- 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$61.5M96%
- Pension and profit-sharing plans$1.6M2.5%
- Individuals$1.2M1.9%
- Individual clients
- 5reported
- HNW clients
- 38reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 78reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mitchell Rene Poirier | New York, Ny | Apr 23, 2023 | 12 y | 3 |
| Scott Alan MarxCertified Financial Planner | Falls Church, Va | Apr 23, 2023 | 24 y | 1 |
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
- Mitchell Rene Poirier from Novare Capital ManagementApr 23, 2023 · RIA to RIA
- Scott Alan Marx from Advice And Planning ServicesApr 23, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rene Mitchell Poirier · Founder/Chief Compliance Officercontrolsince 06/2021 · owns 75% or more
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 · 19 to 78Aug 4, 2022 to Dec 9, 2025
- Advisory employees · 1 to 2Aug 4, 2022 to Dec 9, 2025
- Business name · POIRIER FINANCIAL MANAGEMENT, LLC to SMP FINANCIAL PLANNING, LLCAug 4, 2022 to Dec 9, 2025
- HNW clients · 0 to 38Aug 4, 2022 to Dec 9, 2025
- Individual clients · 7 to 5Aug 4, 2022 to Dec 9, 2025
- Pension plan clients · 0 to 1Aug 4, 2022 to Dec 9, 2025
- Employees · 1 to 2Aug 4, 2022 to Dec 9, 2025
- Financial planning clients · 11-25 to 1-10Aug 4, 2022 to Dec 9, 2025
- HQ city · ADDIS ABABA to Aug 4, 2022 to Dec 9, 2025
- HQ state · unset to Aug 4, 2022 to Dec 9, 2025
- State-registered IARs · 1 to 2Aug 4, 2022 to Dec 9, 2025
- Legal name · POIRIER FINANCIAL MANAGEMENT, LLC to SMP FINANCIAL PLANNING, LLCAug 4, 2022 to Dec 9, 2025
- Other offices · 0 to 1Aug 4, 2022 to Dec 9, 2025
- Discretionary RAUM · $4.8M to $64.4MAug 4, 2022 to Dec 9, 2025
- HNW RAUM · $0 to $61.5MAug 4, 2022 to Dec 9, 2025
- Individual RAUM · $4.8M to $1.2MAug 4, 2022 to Dec 9, 2025
- Pension RAUM · $0 to $1.6MAug 4, 2022 to Dec 9, 2025
- RAUM · $4.8M to $64.4MAug 4, 2022 to Dec 9, 2025
- Charity clients · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Corporate clients · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- HNW clients · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Pension plan clients · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Pooled vehicle clients · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Discretionary RAUM · $4.8M to $4.8MJun 28, 2022 to Aug 4, 2022
- HNW RAUM · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Individual RAUM · $4.8M to $4.8MJun 28, 2022 to Aug 4, 2022
- Pension RAUM · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- Pooled vehicle RAUM · unset to 0.0Jun 28, 2022 to Aug 4, 2022
- RAUM · $4.8M to $4.8MJun 28, 2022 to Aug 4, 2022
- Accounts · 20 to 19May 31, 2022 to Jun 28, 2022
- HNW clients · 8.0 to unsetMay 31, 2022 to Jun 28, 2022
- Individual clients · 2 to 7May 31, 2022 to Jun 28, 2022
- Discretionary RAUM · $3.2M to $4.8MMay 31, 2022 to Jun 28, 2022
- HNW RAUM · 2835267.0 to unsetMay 31, 2022 to Jun 28, 2022
- Individual RAUM · $337,989 to $4.8MMay 31, 2022 to Jun 28, 2022
- RAUM · $3.2M to $4.8MMay 31, 2022 to Jun 28, 2022
Signals
1 dated events
- Poirier Financial Management, Llc filed its initial SEC registration (Form ADV)May 31, 2022 · 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 phone
- 703-278-2864reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/91673601/admin/dashboardreportedpublic record, Form ADV, Sep 17, 2026
- Website
- smpfinancialplanning.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (202) 450-0784reportedpublic record, Form ADV, Dec 9, 2025
- Contact form
- smpfinancialplanning.com/connectreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- smpfinancialplanning.com/about/meet-our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $32.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026