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CRD 122758
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOSHUA FISCHEL SCHWARTZ | n/a | CHICAGO, IL | 23 | 39 | n/a | yes |
| JIM RICHARD LADLIE | n/a | ST. PETER'S, MO | CHICAGO, IL | 23 | 32 | n/a | yes |
| JEFFREY STEPHEN CASTO | n/a | MOKENA, IL | 23 | 27 | n/a | yes |
| DAVID ALLEN HOLLER | n/a | CHICAGO, IL | 23 | 34 | n/a | yes |
| THOMAS ANTHONY CIESLA | n/a | SHOREWOOD, IL | 22 | 28 | 1 | yes |
| DANIEL PAUL DODD | Certified Financial Planner | JANESVILLE, WI | 21 | 24 | n/a | yes |
| CHARLES ANDREW TRACHSEL | n/a | ST. PETER'S, MO | 20 | 32 | n/a | yes |
| JEANNE H. BADEAUX-CARNLINE | n/a | ALEXANDRIA, LA | CHICAGO, IL | 18 | 36 | 1 | yes |
| TIMOTHY CHARLES ROZELLE | n/a | CHICAGO, IL | 15 | 39 | n/a | yes |
| ERIC C MITCHELL | n/a | Macomb, MI | 15 | 20 | n/a | yes |
| EDNA THERESA DELPHIN | n/a | CHICAGO, IL | Shreveport, LA | 15 | 17 | 1 | yes |
| SCOTT ROBERT BURBANK | Chartered Financial Consultant | SOUTH GLASTONBURY, CT | CHICAGO, IL | 14 | 37 | n/a | yes |
| ANGELA LYNN TULLAR | Certified Financial Planner | CHICAGO, IL | JANESVILLE, WI | 14 | 29 | n/a | yes |
| BRETT MICHAEL PENDLETON | n/a | CHICAGO, IL | Jefferson City, MO | 12 | 13 | 1 | yes |
| KENNETH SCOTT MERGEN | n/a | CHICAGO, IL | 12 | 31 | 1 | yes |
| DEBRA LEE ANTON | n/a | Wichita, KS | CHICAGO, IL | 12 | 13 | 1 | yes |
| MATTHEW DAVID MARTIN | Certified Financial Planner | Northville, MI | CHICAGO, IL | 10 | 27 | 3 | yes |
| MATTHEW ADAM FRANK | n/a | Jefferson City, MO | Linn, MO | CHICAGO, IL | Chicago, IL | 10 | 14 | n/a | yes |
| ROBERT JAMES MANGANO | Certified Financial Planner | Cherry Hill, NJ | CHICAGO, IL | 7 | 24 | n/a | yes |
| MICHAEL DEAN ALLEN | n/a | Lee's Summit, MO | CHICAGO, IL | 6 | 34 | 3 | yes |
| Timothy Daniel Harden | Certified Financial Planner|Chartered Financial Consultant | CHICAGO, IL | SAINT PETERS, MO | 5 | 14 | 6 | yes |
| THOMAS PAUL CLOONEY | n/a | CHICAGO, IL | Egg Harbor Township, NJ | 5 | 22 | 4 | yes |
| Sarah C McKinzie | n/a | Jefferson City, MO | CHICAGO, IL | 5 | 18 | n/a | yes |
| DARREN WESTON DOUGHTY | n/a | Parrish, FL | CHICAGO, IL | 4 | 26 | n/a | yes |
| PHILLIP WILLIAM HOLSTROM | n/a | Lebanon, OH | CHICAGO, IL | 4 | 26 | 4 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SCHWARTZ, JOSHUA, FISCHEL | CHIEF FINANCIAL OFFICER | Na | yes | 10/2022 | Jul 30, 2026 | Jul 30, 2026 |
| RETIREMENT PLAN ADVISORS GROUP, LLC | PARENT COMPANY | E | yes | 01/2014 | Jan 26, 2022 | Dec 13, 2024 |
| RETIREMENT PLAN ADVISORS HOLDINGS, INC. | PARENT HOLDING COMPANY | E | yes | 12/2021 | Jan 26, 2022 | Dec 13, 2024 |
| SCHWARTZ, JOSHUA, FISCHEL | Owner | C | yes | 12/2021 | Mar 23, 2012 | Dec 13, 2024 |
| FRANK, MATTHEW | CHIEF COMPLIANCE OFFICER | Na | no | 10/2022 | Jul 30, 2026 | Jul 30, 2026 |
| KISTNER, TAYLOR, JOHN | CHIEF INVESTMENT OFFICER | Na | no | 12/2022 | Jul 30, 2026 | Jul 30, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| RETIREMENT PLAN ADVISORS SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| JEFFERSON CITY | Mo | United States | 4 | no |
| ST. PETERS | Mo | United States | 4 | no |
| Frisco | TX | United States | 4 | no |
| Janesville | Wi | United States | 2 | no |
| Tracy | CA | United States | 1 | no |
| ST. PETERSBURG | FL | United States | 1 | no |
| Shorewood | IL | United States | 1 | no |
| Georgetown | Ky | United States | 1 | no |
| Metairie | La | United States | 1 | no |
| Shreveport | La | United States | 1 | no |
| Mcmillan | Mi | United States | 1 | no |
| Northville | Mi | United States | 1 | no |
| SOUTH LYON | Mi | United States | 1 | no |
| LEE'S SUMMIT | Mo | United States | 1 | no |
| Lebanon | Oh | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $3.5B | $3.5B | 47 | 47 | 30 | n/a | n/a |
| 2024 | Mar 28, 2025 | $1.9B | $1.9B | 44 | 44 | 28 | n/a | n/a |
| 2023 | Mar 29, 2024 | $1.5B | $1.5B | 42 | 42 | 26 | n/a | n/a |
| 2022 | Mar 30, 2023 | $1.1B | $1.1B | 37 | 37 | 25 | n/a | n/a |
| 2021 | Mar 29, 2022 | $1.3B | $1.3B | 35 | 35 | 22 | n/a | n/a |
| 2020 | Mar 29, 2021 | $1.0B | $1.0B | 32 | 32 | 22 | n/a | n/a |
| 2019 | Mar 20, 2020 | $723M | $723M | 34 | 34 | 22 | n/a | n/a |
| 2018 | Mar 25, 2019 | $581M | $580M | 34 | 34 | 22 | n/a | n/a |
| 2017 | Mar 29, 2018 | $531M | $528M | 34 | 34 | 22 | n/a | n/a |
| 2016 | Mar 23, 2017 | $1.6B | $435M | 35 | 35 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $1.6B | $443M | 37 | 37 | n/a | n/a | n/a |
| 2014 | Mar 24, 2015 | $1.5B | $439M | 38 | 38 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $439M | $386M | 41 | 41 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $342M | $333M | 42 | 42 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $284M | $274M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 3 | 0 | 6.4% | 0 | 0 | 0 | 11 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.5B | $1.9B | 88.1% | $1.1B | 47.8% | 47 | 44 | 30 | 28 |