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
Family Wealth Planning Partners
Legal name Family Wealth Planning Partners LLC
Latest filing May 22, 2026
First filing on the tape Nov 4, 2022 · 20 filings
SEC status approved since Dec 19, 2022
RAUM
$317M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
65%
$207M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$79.3M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$317M as of May 22, 2026
Mar 9, 2023$142M then
HNW client RAUM$109M as of May 22, 2026
Mar 9, 2023$64.6M then
State-registered IARs (5.B.3)4 as of May 22, 2026
Mar 9, 20234 then
Employees (5.A)8 as of May 22, 2026
Mar 9, 20234 then
Private funds: no history
RAUM +1.2% over the last fiscal year+31% a year over threeIARs 4 to 4offices 3 to 2
Practice profile
derived from the filing of May 22, 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
- 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
- RAUM per advisor
- $79.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 285derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $232,338derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +54%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M39%
- Individuals$97.6M35%
- Pension and profit-sharing plans$73.6M26%
- Individual clients
- 1,090reported
- HNW clients
- 51reported
- Pension plan clients
- 75reported
- Charitable clients
- 0reported
- Accounts
- 1,366reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.23 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 |
|---|---|---|---|---|
| Eric Thomas Douglas | Louisville, Ky | Dec 22, 2022 | 18 y | 1 |
| Aaron Michael Mcandrew | Louisville, Ky | Dec 22, 2022 | 16 y | 5 |
| Brian W RamseyCertified Financial Planner, Chartered Financial Consultant | Louisville, Ky | Jan 3, 2023 | 22 y | 5 |
| Christopher Andrew Vaughn | Louisville, Ky | Mar 1, 2023 | 11 y | 2 |
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 headcount1 left over 36 months
Left, latest
- Fred Kent Brockman to Capital Advisor NetworkDec 20, 2023 · RIA to RIA
Joined, latest
- Fred Kent Brockman from Capital Advisor NetworkDec 15, 2023 · RIA to RIA
- Christopher Andrew Vaughn from Independent Financial PartnersMar 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Brian W Ramsey from Independent Financial PartnersJan 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Eric Thomas Douglas from Independent Financial PartnersDec 22, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- Aaron Michael Mcandrew from Independent Financial PartnersDec 22, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Independent Financial PartnersMar 31, 2023 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Eric Douglas · Managing Membercontrolsince 10/2022 · owns 10% to 25%
- Michael Aaron Mcandrew · Managing Membercontrolsince 10/2022 · owns 10% to 25%
- W Brian Ramsey · Managing Member & Chief Compliance Officercontrolsince 10/2022 · owns 10% to 25%
- Andrew Christopher Vaughn · Managing Membercontrolsince 10/2022 · 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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clarksville, IN1 employees
- Huntingburg, IN1 employees
- Jasper, IN1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing May 22, 2026private clients per advisor of 285.2 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 6.5 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- client count surgeChange between filings · filing Mar 23, 2026individual and HNW clients (Item 5.D) moved from 739.0 to 1,141.0 (+54.0%) between the annual amendments of 2025-02-17 and 2026-03-23; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
What changed
consecutive filings, newest first
- Other offices · 3 to 2Mar 23, 2026 to May 22, 2026
- Organization form · Limited Liability Company to PartnershipMar 23, 2026 to May 22, 2026
- Accounts · 1,499 to 1,366Jan 11, 2026 to Mar 23, 2026
- Advisory employees · 4 to 5Jan 11, 2026 to Mar 23, 2026
- HNW clients · 44 to 51Jan 11, 2026 to Mar 23, 2026
- Individual clients · 695 to 1,090Jan 11, 2026 to Mar 23, 2026
- Pension plan clients · 0 to 75Jan 11, 2026 to Mar 23, 2026
- Employees · 7 to 8Jan 11, 2026 to Mar 23, 2026
- Discretionary RAUM · $202M to $207MJan 11, 2026 to Mar 23, 2026
- HNW RAUM · $67.9M to $109MJan 11, 2026 to Mar 23, 2026
- Individual RAUM · $134M to $97.6MJan 11, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $110MJan 11, 2026 to Mar 23, 2026
- Pension RAUM · $0 to $73.6MJan 11, 2026 to Mar 23, 2026
- RAUM · $202M to $317MJan 11, 2026 to Mar 23, 2026
- Wrap assets (manager) · 23000000.0 to unsetJan 11, 2026 to Mar 23, 2026
- Wrap assets (sponsor) · 0.0 to unsetJan 11, 2026 to Mar 23, 2026
- Wrap assets (manager) · unset to 23000000.0Nov 14, 2025 to Dec 2, 2025
- Wrap assets (sponsor) · unset to 0.0Nov 14, 2025 to Dec 2, 2025
- Accounts · 1,728 to 1,499Feb 17, 2025 to Nov 14, 2025
- Pension plan clients · 56 to 0Feb 17, 2025 to Nov 14, 2025
- Financial planning clients · 0 to 0Feb 17, 2025 to Nov 14, 2025
- Individual RAUM · $183M to $134MFeb 17, 2025 to Nov 14, 2025
- Non-discretionary RAUM · $111M to $0Feb 17, 2025 to Nov 14, 2025
- Pension RAUM · $62.9M to $0Feb 17, 2025 to Nov 14, 2025
- RAUM · $314M to $202MFeb 17, 2025 to Nov 14, 2025
- Accounts · 1,294 to 1,728Apr 5, 2024 to Feb 17, 2025
- HNW clients · 56 to 44Apr 5, 2024 to Feb 17, 2025
- Individual clients · 531 to 695Apr 5, 2024 to Feb 17, 2025
- Pension plan clients · 37 to 56Apr 5, 2024 to Feb 17, 2025
- Employees · 5 to 7Apr 5, 2024 to Feb 17, 2025
- Discretionary RAUM · $162M to $202MApr 5, 2024 to Feb 17, 2025
- HNW RAUM · $56.8M to $67.9MApr 5, 2024 to Feb 17, 2025
- Individual RAUM · $106M to $183MApr 5, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $56.3M to $111MApr 5, 2024 to Feb 17, 2025
- Pension RAUM · $55.2M to $62.9MApr 5, 2024 to Feb 17, 2025
- RAUM · $218M to $314MApr 5, 2024 to Feb 17, 2025
- Other offices · 2 to 3Mar 29, 2024 to Apr 5, 2024
- Accounts · 925 to 1,294Jan 16, 2024 to Mar 29, 2024
- BD registered reps · 1 to 0Jan 16, 2024 to Mar 29, 2024
- Charity clients · 2 to 0Jan 16, 2024 to Mar 29, 2024
Signals
5 dated events
- Family Wealth Planning Partners reported RAUM $317.4M, up 57% from $202.3M (2026-01-11 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- Family Wealth Planning Partners reported RAUM $202.3M, down 35% from $313.5M (2025-02-17 to 2025-11-14)Nov 14, 2025 · RAUM change · derived
- Fred Kent Brockman left Family Wealth Planning Partners for Capital Advisor Network (registered 2026-01-06)Dec 20, 2023 · Advisor changed firm · fact
- 3 advisors left Independent Financial Partners (Louisville, KY) for Family Wealth Planning Partners within 3 daysMar 31, 2023 · Team lift-out · derived
- Family Wealth Planning Partners filed its initial SEC registration (Form ADV)Nov 4, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Family Wealth Planning Partners · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 502-200-5210reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fwppreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fwppartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-200-5210reportedpublic record, Form ADV, May 22, 2026
- Contact form
- fwppartners.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fwppartners.com/about-fwp/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
- $79.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026