RETIREMENT PLANS, INC.
Adviser information for RETIREMENT PLANS, INC. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 9 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 289 | $244.8M |
| Non-Discretionary | 0 | $0 |
| Total | 289 | $244.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 186 | $18.4M |
| HNW Individuals | 12 | $8.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 88 | $217.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-123069 |
|---|---|
| SEC ERA File Number | 801-123069 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286214 |
| Legal Entity Identifier | None |
Principal Office
124 DORCHESTER SQUARESUITE B
WESTERVILLE
OH
United States
Monday - Friday, 9:00 - 4:30
Tel: 614-339-1910, Fax: 614-392-2850
Chief Compliance Officer
RICHARD T. RITTER
PRESIDENT
124 DORCHESTER SQUARE
SUITE B
WESTERVILLE
OH
United States
Tel:
614-339-1910
Fax:
614-392-2850
R*****@**********M
(Full email address available in API data)
Regulatory Contact
DAVID KUHR
CONSULTANT
2000 AUBURN DRIVE, SUITE 300
CLEVELAND
OH
United States
Tel:
2168395108
G*****************@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RITTER, RICHARD, THOMAS | Individual | – | PRESIDENT/CCO | 06/2011 | > 75% |