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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RETIREMENT ASSET ADVISORY

RETIREMENT ASSET ADVISORY INC, CRD 109161

ARLINGTON, TX

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:88a8c23b-b1f3-8015-cde0-1426bb8a4b4f

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 1
Observed: Mar 28, 2012 to Mar 26, 2019
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Retirement Asset Advisory

Investment consultant · shared crd

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: $174MItem 5.F on the latest filing (2019-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.2M
Private client RAUM: $13.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 88
Individual clients: 17
High net worth clients: 7
SEC number: 801-55311
CRD: 109161
Filings on the tape: 8
First filed: Mar 28, 2012
Latest filed: Mar 26, 2019
Organised: Corporation, Texas

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
COLE, JOHN, DAVID	VICE-PRESIDENT	D	yes	12/1995	Mar 28, 2012	Mar 26, 2019
WORLEY, WILLIAM, DAVID	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	12/1995	Mar 28, 2012	Mar 26, 2019

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
WILLIAM D. WORLEY INSURANCE BROKER, SOLE PROPRIETOR	n/a	n/a	n/a	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
2018	Mar 26, 2019	$174M	$12.2M	2	2	0	n/a	n/a
2017	Mar 28, 2018	$337M	$12.5M	2	2	0	n/a	n/a
2016	Mar 15, 2017	$303M	$12.4M	2	2	n/a	n/a	n/a
2015	Mar 30, 2016	$290M	$11.1M	2	2	n/a	n/a	n/a
2014	Mar 30, 2015	$281M	$6.6M	2	2	n/a	n/a	n/a
2013	Mar 28, 2014	$249M	$7.0M	2	2	n/a	n/a	n/a
2012	Mar 21, 2013	$235M	$7.9M	2	2	n/a	n/a	n/a
2011	Mar 28, 2012	$226M	$11.1M	n/a	n/a	n/a	n/a	n/a

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
2018	$174M	$337M	-48.5%	$290M	-15.7%	2	2	0	0

Relationships

Controls (2)

← WORLEY, WILLIAM, DAVIDOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← COLE, JOHN, DAVIDOwnerVICE-PRESIDENT, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 26, 2019
Regulatory AUM changed
Retirement Asset Advisory reported RAUM $173.6M, down 49% from $337.2M (2018-03-28 to 2019-03-26)
Form ADVobserved 5 days ago
$-164M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:88a8c23b-b1f3-8015-cde0-1426bb8a4b4f
First observed: Mar 28, 2012
Last observed: Mar 26, 2019 91 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 ASSET ADVISORY

RETIREMENT ASSET ADVISORY INC, CRD 109161

ARLINGTON, TX

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:88a8c23b-b1f3-8015-cde0-1426bb8a4b4f

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COLE, JOHN, DAVID

VICE-PRESIDENT

yes

12/1995

Mar 28, 2012

Mar 26, 2019

WORLEY, WILLIAM, DAVID

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

12/1995

Mar 28, 2012

Mar 26, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WILLIAM D. WORLEY INSURANCE BROKER, SOLE PROPRIETOR

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 26, 2019

$174M

$12.2M

n/a

2017

Mar 28, 2018

$337M

$12.5M

n/a

2016

Mar 15, 2017

$303M

$12.4M

n/a

2015

Mar 30, 2016

$290M

$11.1M

n/a

2014

Mar 30, 2015

$281M

$6.6M

n/a

2013

Mar 28, 2014

$249M

$7.0M

n/a

2012

Mar 21, 2013

$235M

$7.9M

n/a

2011

Mar 28, 2012

$226M

$11.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$174M

$337M

-48.5%

$290M

-15.7%