RETIREMENT PLAN ADVISORS, LLC
Adviser information for RETIREMENT PLAN ADVISORS, LLC last updated from Form ADV on March 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 42 |
|---|---|
| Investment Advisory/Research | 42 |
| Registered Broker-Dealer Representatives | 35 |
| Registered State Investment Advisers | 42 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9,654 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 9,654 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7,486 | $371.5M |
| HNW Individuals | 33 | $52.9M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 150 | $1.0B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1270 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 305.2M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTHPORT WRAP PROGRAM | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-63261 |
|---|---|
| SEC ERA File Number | 801-63261 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122758 |
| Legal Entity Identifier | None |
Principal Office
29 E. MADISON ST.SUITE 500
CHICAGO
IL
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 312-701-1100, Fax: 312-701-1105
Websites
Chief Compliance Officer
MATTHEW FRANK
3121 EMERALD LANE
SUITE 500
JEFFERSON CITY
MO
United States
Tel:
573-659-4443 EXT. 1308
Fax:
573-659-7734
M*****@*************************M
(Full email address available in API data)
Regulatory Contact
JOSHUA F SCHWARTZ
CHIEF EXECUTIVE OFFICER
29 E. MADISON ST
SUITE 500
CHICAGO
IL
United States
Tel:
312-701-1100 EXT 223
Fax:
312-701-1105
J*********@*************************M
(Full email address available in API data)
Industry Affiliates
| RETIREMENT PLAN ADVISORS SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHWARTZ, JOSHUA, FISCHEL | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2011 | < 5% |
| RETIREMENT PLAN ADVISORS GROUP, LLC | Domestic Entity | – | PARENT COMPANY | 01/2014 | > 75% |
| RETIREMENT PLAN ADVISORS HOLDINGS, INC. | Domestic Entity | RETIREMENT PLAN ADVISORS GROUP, LLC | PARENT HOLDING COMPANY | 12/2021 | > 75% |
| SCHWARTZ, JOSHUA, FISCHEL | Individual | RETIREMENT PLAN ADVISORS HOLDINGS, INC. | OWNER | 12/2021 | 25-50% |
| FRANK, MATTHEW | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| SCHWARTZ, JOSHUA, FISCHEL | Individual | – | CHIEF OPERATIONS OFFICER | 10/2022 | < 5% |
| SCHWARTZ, JOSHUA, FISCHEL | Individual | – | CHIEF FINANCIAL OFFICER | 10/2022 | < 5% |
| KISTNER, TAYLOR, JOHN | Individual | – | CHIEF INVESTMENT OFFICER | 12/2022 | < 5% |