RETIREMENT CAPITAL STRATEGIES, INC.
Adviser information for RETIREMENT CAPITAL STRATEGIES, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 666 | $265.2M |
| Non-Discretionary | 0 | $0 |
| Total | 666 | $265.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 214 | $87.9M |
| HNW Individuals | 66 | $172.0M |
| 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 | <5 | $598,304 |
| 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 | $4.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-70918 |
|---|---|
| SEC ERA File Number | 801-70918 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139009 |
| Legal Entity Identifier | None |
Principal Office
1190 SARATOGA AVE., SUITE 140SAN JOSE
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 408-551-6100, Fax: 408-551-6161
Chief Compliance Officer
THERESA VASQUEZ
CHIEF COMPLIANCE OFFICER
1190 SARATOGA AVE., SUITE 140
SAN JOSE
CA
United States
Tel:
408-551-6100
Fax:
408-551-6161
T**************@*************M
(Full email address available in API data)
Regulatory Contact
THOMAS VAUGHAN
CEO/PRESIDENT
1190 SARATOGA AVENUE
SUITE 140
SAN JOSE
CA
United States
Tel:
408-551-6100
Fax:
408-551-6161
T**********@*************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 |
|---|---|---|---|---|---|
| VAUGHAN, THOMAS, EARL | Individual | – | CEO/PRESIDENT | 10/2017 | > 75% |
| VASQUEZ, THERESA, LUCIA | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2018 | < 5% |
| NERI, CAMILLA, ELIZABETH | Individual | – | DIRECTOR | 06/2020 | < 5% |