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DEFINED FINANCIAL PLANNING LLC

SAN RAFAEL, CA · CRD 310137 · IAPD ↗ · (510) 200-8655

$137.3MRegulatory AUM
4Advisory reps
5Employees
0Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
December 2025 — DEFINED FINANCIAL PLANNING LLC (SAN RAFAEL, CA) left the SEC roster (was $137.3M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
58
March 2025 — DEFINED FINANCIAL PLANNING LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
May 2024 — DEFINED FINANCIAL PLANNING LLC moved its main office from ALAMEDA, CA to SAN RAFAEL, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
65
May 2024 — DEFINED FINANCIAL PLANNING LLC now reports custody of client assets ($12.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
February 2024 — DEFINED FINANCIAL PLANNING LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.