SourcingSourcing

PLAN LIFE & WEALTH MANAGEMENT, INC.

B58
CRD 44960·SEC 801-112596·FRESNO, CA
AUM
$195.4M
$100M-$500M
Est. Revenue
$2.0M
@ 1% on AUM
Est. EBITDA
$586K
@ 30% margin
Est. Deal Value
$4.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PLAN LIFE & WEALTH MANAGEMENT, INC.
CRD
44960
SEC file #
801-112596
EIN
—
DBA names
Plan Financial

Economics

AUM
$195.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$133.2M → $195.4M▲ +47%
Client mix
Individuals Other788
Pension Profit Sharing Plans16
Charitable Organizations9
Corporations4

Operations

Employees (total)
6
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
5 advisors → 6 advisors▲ +20%
Primary office
FRESNO CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
planfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HOOPER, JOHN, ROBERT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
HOOPER, JOHN, ROBERT
HALLS, ISAAC, ELLSWORTH
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PLANFINANCIAL.COM
Rdap Domain Creation Date
1997-02-28T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3275
Soi Zip Pct 200k Plus
0.1028
Soi Zip Returns 200k Plus
2,280
Soi Zip Total AGI
2,251,494
Fdic Zip Total Deposits
79,179,558,000
Fdic Zip Branch Count
491
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
Union BankFresno, CA
Union BankFresno, CA
Fdic Zip HHI
1877.25
Fdic Zip Top Bank Share Pct
40.07
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-01T05:00:00Z
Rdap Domain Last Changed
2021-12-31T09:25:15Z
Rdap Nameservers
Ns57.worldnic.comNs58.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI64,231
Returns4,980
Stub 2
AGI156,325
Returns4,220
Stub 3
AGI199,727
Returns3,220
Soi Zip Total Business Income
84,990
Soi Zip Total Cap Gains
93,339
Soi Zip Total Dividends
35,236
Soi Zip Total Returns
22,170
Top Owner CRD
1573967
Trust Company Affiliate
No

People (6)

6
HOOPER, JOHN, ROBERT
IAR · Direct Owner · 87.5%
1573967
Hooper, Joel, Robert
IAR · Direct Owner · 17.5%
6680987
HALLS, ISAAC, ELLSWORTH
IAR · Direct Owner · 17.5%
5985502
JOHN DAVID WERFT
IAR
1678158
ROBERT LEON ROCKWELL
IAR
4211663
JOE MICHAEL CHIN
IAR
714462