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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RETIREMENT WEALTH MANAGEMENT, INC.

CRD 119605

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Search this name across graphsid dfx:ria:0b37fdea-cf4e-b5ea-c8a5-c3543448e34e

Data as of Jul 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Jul 2, 2012
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $44.0MItem 5.F on the latest filing (2012-07-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $44.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $44.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 203
SEC number: 801-61054
CRD: 119605
Filings on the tape: 9
First filed: Mar 27, 2012
Latest filed: Jul 2, 2012
Organised: Corporation, Virginia

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PHILIP SPRINGER	n/a	KESWICK, VA	16	27	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SPRINGER, PHILIP	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/1999	May 31, 2012	Jul 2, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 27, 2012	$45.8M	$45.8M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$44.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← SPRINGER, PHILIPOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
May 31, 2012 to presentfactForm ADV

Registered with (1)

← PHILIP SPRINGERAdvisorregistration: current employment
Aug 17, 2010 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b37fdea-cf4e-b5ea-c8a5-c3543448e34e
First observed: Mar 27, 2012
Last observed: Jul 2, 2012 173 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RETIREMENT WEALTH MANAGEMENT, INC.

CRD 119605

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0b37fdea-cf4e-b5ea-c8a5-c3543448e34e

Data as of Jul 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:11 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILIP SPRINGER

n/a

KESWICK, VA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SPRINGER, PHILIP

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/1999

May 31, 2012

Jul 2, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 27, 2012

$45.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$44.0M

n/a