RETIREMENT PLANNING SPECIALISTS, INC.
S & P FINANCIAL, INC. Legal Name
Adviser information for RETIREMENT PLANNING SPECIALISTS, INC. last updated from Form ADV on April 18th, 2023. 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 | Oregon, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 828 | $247.8M |
| Non-Discretionary | 0 | $0 |
| Total | 828 | $247.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 419 | $247.8M |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | 419 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-66205 |
|---|---|
| SEC ERA File Number | 801-66205 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139358 |
| Legal Entity Identifier | None |
Principal Office
241 MAPLE STREETSUITE 101
ASHLAND
OR
United States
Monday - Friday, 8:00A.M.-5:00P.M.
Tel: 541-482-0138, Fax: 541-488-6272
Chief Compliance Officer
CHAD M SMITH
241 MAPLE STREET
SUITE 101
ASHLAND
OR
United States
Tel:
541-482-0138
Fax:
541-488-6272
C***@***********M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
5285 MEADOWS ROAD
SUITE 199
LAKE OSWEGO
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| SMITH, CHAD, MATTHEW | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2006 | 50-75% |
| PATTERSON, CHRISTOPHER | Individual | – | MANAGING PARTNER | 04/2014 | 50-75% |