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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

CRD 108705

WARWICK, RI

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:8026a961-906b-1f8b-b425-5fc11331ae54

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Mar 13, 2026
30 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $394MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $371M
Private client RAUM: $394MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $98.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,312
Individual clients: 429
High net worth clients: 136
SEC number: 801-55956
CRD: 108705
Filings on the tape: 30
First filed: Mar 19, 2012
Latest filed: Mar 13, 2026
Organised: Corporation, RI
Website: retirementplanningco.com

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
DAVID WILLIAM ALLAIRE	n/a	WARWICK, RI	29	37	n/a	yes
EDWARD VIAR	n/a	PROVIDENCE , RI	24	n/a	n/a	no
SOTIRIOS MIKE PAPPAS	n/a	WARWICK, RI	23	26	n/a	yes
SCOTT BRUCE SEIDMAN	n/a	WARWICK, RI	2	42	2	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
ALLAIRE, DAVID, WILLIAM	President	E	yes	04/1996	Mar 19, 2012	May 14, 2024
PAPPAS, SOTIRIOS, MIKE	CHIEF COMPLIANCE OFFICER	Na	yes	05/2001	Mar 19, 2012	May 14, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MYSTIC ASSET MANAGEMENT, INC.	n/a	Independent wealth	$615M	N	yes	n/a

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
2025	Mar 13, 2026	$394M	$371M	4	3	0	n/a	n/a
2024	Mar 28, 2025	$336M	$324M	4	3	0	n/a	n/a
2023	Mar 26, 2024	$279M	$260M	4	3	0	n/a	n/a
2022	Mar 21, 2023	$228M	$211M	4	3	0	n/a	n/a
2021	Mar 22, 2022	$262M	$244M	4	3	0	n/a	n/a
2020	Mar 23, 2021	$211M	$196M	4	3	0	n/a	n/a
2019	Mar 11, 2020	$180M	$168M	4	3	0	n/a	n/a
2018	Mar 18, 2019	$142M	$132M	4	3	0	n/a	n/a
2017	Mar 3, 2018	$138M	$132M	4	3	0	n/a	n/a
2016	Mar 20, 2017	$117M	$109M	3	3	n/a	n/a	n/a
2015	Mar 28, 2016	$102M	$96.8M	3	3	n/a	n/a	n/a
2014	Mar 19, 2015	$104M	$98.8M	3	3	n/a	n/a	n/a
2013	Mar 17, 2014	$99.9M	$90.9M	3	3	n/a	n/a	n/a
2012	Feb 27, 2013	$238M	$154M	6	4	n/a	n/a	n/a
2011	Mar 19, 2012	$209M	$128M	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	1	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
2025	$394M	$336M	17.3%	$228M	20.0%	4	4	0	0

Relationships

Affiliated with (2)

→ MYSTIC ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← MYSTIC ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Registered with (5)

← SCOTT BRUCE SEIDMANAdvisorregistration: current employment
May 14, 2024 to presentfactForm ADV
← SOTIRIOS MIKE PAPPASAdvisorregistration: current employment
Jan 1, 2003 to presentfactForm ADV
← EDWARD VIARAdvisorregistration: current employment
Feb 13, 2002 to presentfactForm ADV
← DAVID WILLIAM ALLAIREAdvisorregistration: current employment
Oct 28, 1996 to presentfactForm ADV
← KEVIN R. WORTHLEYAdvisorregistration: previous registration
Jan 1, 2003 to Feb 8, 2013factForm ADV

Controls (2)

← ALLAIRE, DAVID, WILLIAMOwnerPRESIDENT, ownership code E, individual
Mar 19, 2012 to May 14, 2024factForm ADV
← PAPPAS, SOTIRIOS, MIKEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 19, 2012 to May 14, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8026a961-906b-1f8b-b425-5fc11331ae54
First observed: Mar 19, 2012
Last observed: Mar 13, 2026 6 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.

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

CRD 108705

WARWICK, RI

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:8026a961-906b-1f8b-b425-5fc11331ae54

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID WILLIAM ALLAIRE

n/a

WARWICK, RI

n/a

yes

EDWARD VIAR

n/a

PROVIDENCE , RI

n/a

SOTIRIOS MIKE PAPPAS

n/a

WARWICK, RI

n/a

yes

SCOTT BRUCE SEIDMAN

n/a

WARWICK, RI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLAIRE, DAVID, WILLIAM

President

yes

04/1996

Mar 19, 2012

May 14, 2024

PAPPAS, SOTIRIOS, MIKE

CHIEF COMPLIANCE OFFICER

yes

05/2001

Mar 19, 2012

May 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MYSTIC ASSET MANAGEMENT, INC.

n/a

Independent wealth

$615M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$394M

$371M

n/a

2024

Mar 28, 2025

$336M

$324M

n/a

2023

Mar 26, 2024

$279M

$260M

n/a

2022

Mar 21, 2023

$228M

$211M

n/a

2021

Mar 22, 2022

$262M

$244M

n/a

2020

Mar 23, 2021

$211M

$196M

n/a

2019

Mar 11, 2020

$180M

$168M

n/a

2018

Mar 18, 2019

$142M

$132M

n/a

2017

Mar 3, 2018

$138M

$132M

n/a

2016

Mar 20, 2017

$117M

$109M

n/a

2015

Mar 28, 2016

$102M

$96.8M

n/a

2014

Mar 19, 2015

$104M

$98.8M

n/a

2013

Mar 17, 2014

$99.9M

$90.9M

n/a

2012

Feb 27, 2013

$238M

$154M

n/a

2011

Mar 19, 2012

$209M

$128M

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

2025

$394M

$336M

17.3%

$228M

20.0%