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
Planning Works Advisory, Inc.
Latest filing Feb 18, 2026
First filing on the tape Dec 8, 2021 · 12 filings
SEC status approved since Jan 7, 2022
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$198M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$50.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$200M as of Feb 18, 2026
Feb 24, 2023$138M then
HNW client RAUM$175M as of Feb 18, 2026
Feb 24, 2023$124M then
State-registered IARs (5.B.3)4 as of Feb 18, 2026
Feb 24, 20233 then
Employees (5.A)4 as of Feb 18, 2026
Feb 24, 20233 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 18, 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
- 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
- $50.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $320,762derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $56.2M, 60 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$175M87%
- Individuals$23.8M12%
- Pension and profit-sharing plans$1.5M0.8%
- Individual clients
- 45reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 623reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.2M for 60 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Renee Catherine Harvey | Austin, Tx | Mar 24, 2022 | 25 y | 0 |
| Timothy Cordell SittlerCertified Financial Planner | Austin, Tx | Mar 31, 2022 | 20 y | 6 |
| Mikiel Ray Featherston | Austin, Tx | Apr 1, 2022 | 37 y | 4 |
| Jack Alexander Switzer | Austin, Tx | Aug 18, 2025 | 12 y | 0 |
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
- Mikiel Ray Featherston from Waterloo CapitalApr 1, 2022 · RIA to a newly registered adviser
- Timothy Cordell Sittler from Waterloo CapitalMar 31, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Waterloo CapitalApr 26, 2022 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Mikiel Featherston · President/Ccocontrolsince 11/2021 · owns 50% to 75%
- Catherine Renee Harvey · Secretarysince 11/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 595 to 623Aug 28, 2025 to Feb 18, 2026
- Advisory employees · 3 to 4Aug 28, 2025 to Feb 18, 2026
- HNW clients · 77 to 84Aug 28, 2025 to Feb 18, 2026
- Assets in custody · $33.0M to $56.2MAug 28, 2025 to Feb 18, 2026
- Employees · 3 to 4Aug 28, 2025 to Feb 18, 2026
- Financial planning clients · 0 to 1-10Aug 28, 2025 to Feb 18, 2026
- State-registered IARs · 3 to 4Aug 28, 2025 to Feb 18, 2026
- Discretionary RAUM · $175M to $200MAug 28, 2025 to Feb 18, 2026
- HNW RAUM · $156M to $175MAug 28, 2025 to Feb 18, 2026
- Individual RAUM · $19.2M to $23.8MAug 28, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $3.2M to $0Aug 28, 2025 to Feb 18, 2026
- Pension RAUM · $3.7M to $1.5MAug 28, 2025 to Feb 18, 2026
- RAUM · $179M to $200MAug 28, 2025 to Feb 18, 2026
- Financial planning clients · 0 to 0Feb 14, 2025 to Aug 28, 2025
- Accounts · 583 to 595Apr 16, 2024 to Feb 14, 2025
- BD registered reps · 3 to 0Apr 16, 2024 to Feb 14, 2025
- HNW clients · 74 to 77Apr 16, 2024 to Feb 14, 2025
- Individual clients · 68 to 45Apr 16, 2024 to Feb 14, 2025
- Assets in custody · $866 to $33.0MApr 16, 2024 to Feb 14, 2025
- Insurance-licensed employees · 2 to 0Apr 16, 2024 to Feb 14, 2025
- Discretionary RAUM · $140M to $175MApr 16, 2024 to Feb 14, 2025
- HNW RAUM · $129M to $156MApr 16, 2024 to Feb 14, 2025
- Individual RAUM · $14.5M to $19.2MApr 16, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $6.1M to $3.2MApr 16, 2024 to Feb 14, 2025
- Pension RAUM · $3.0M to $3.7MApr 16, 2024 to Feb 14, 2025
- RAUM · $146M to $179MApr 16, 2024 to Feb 14, 2025
- Accounts · 560 to 583Sep 1, 2023 to Feb 9, 2024
- HNW clients · 68 to 74Sep 1, 2023 to Feb 9, 2024
- Assets in custody · $862 to $866Sep 1, 2023 to Feb 9, 2024
- Discretionary RAUM · $128M to $140MSep 1, 2023 to Feb 9, 2024
- HNW RAUM · $124M to $129MSep 1, 2023 to Feb 9, 2024
- Individual RAUM · $11.5M to $14.5MSep 1, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $9.7M to $6.1MSep 1, 2023 to Feb 9, 2024
- Pension RAUM · $2.6M to $3.0MSep 1, 2023 to Feb 9, 2024
- RAUM · $138M to $146MSep 1, 2023 to Feb 9, 2024
- Accounts · 603 to 560May 21, 2022 to Feb 24, 2023
- Individual clients · 66 to 68May 21, 2022 to Feb 24, 2023
- Assets in custody · unset to 862.0May 21, 2022 to Feb 24, 2023
- Custody of client assets · false to trueMay 21, 2022 to Feb 24, 2023
- Discretionary RAUM · $125M to $128MMay 21, 2022 to Feb 24, 2023
Signals
2 dated events
- 2 advisors left Waterloo Capital (Austin, TX) for Planning Works Advisory, Inc. on the same dayApr 26, 2022 · Team lift-out · derived
- Planning Works Advisory, Inc. filed its initial SEC registration (Form ADV)Dec 8, 2021 · 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
- operations@planningworksinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- lindsey@planningworksinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tim@planningworksinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-580-5505reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-200-9816reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-498-7526reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/planningworksreportedpublic record, Form ADV, Sep 17, 2026
- Website
- planningworksinc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-498-7526reportedpublic record, Form ADV, Feb 18, 2026
- Contact form
- planningworksinc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- planningworksinc.com/meet-the-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
- $50.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026