DP
Diversified Planning Concepts, Inc.
State-registered
Wealth Manager · Boutique (under $100M)
CRD 112229
· SEC file 801-27279
·
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ADV data as of May 19, 2026
- Regulatory AUM
- $44.3M
- Discretionary
- $0
- Clients
- 36
- Avg AUM / client
- $1.2M
- Accounts
- 36
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 16 | $19.5M | 44.0% |
| High net worth individuals | 18 | $16.8M | 38.0% |
| Pension and profit sharing plans | 2 | $8.0M | 18.0% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Donald Ray Clephane | Registered representative | CFP | Apr 2005 (21y) | |
| Gary Alan Hooker | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/19/2026 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 19, 2026.
View current Form ADV (SEC/IAPD) ↗