DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Retirement Advisory Services Corp

Former SEC-registered adviserFort Washington, PennsylvaniaCRD 108609SEC 801-57956IAPD
Legal name Retirement Advisory Services Corp.
Latest filing Mar 28, 2017
First filing on the tape Dec 13, 2011 · 12 filings
RAUM
$116M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$116M as of Mar 28, 2017
Sep 7, 2012$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2017
Sep 27, 20130 then
Employees (5.A)3 as of Mar 28, 2017
Sep 27, 20135 then
Private funds: no history
RAUM -1.5% over the last fiscal year-0.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
$38.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$452,130derivedRAUM over accounts (5.F.2.f)
Discretionary
54%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
257reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dennis Elliott Freiberg · Chief Executive Officercontrol
      since 06/2009 · owns 50% to 75%
    • Hale Patricia Sobel · Chief Compliance Officercontrol
      since 09/2000 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • Pension & Estate Planners, Inc.
      LP sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 295 to 257
      Mar 26, 2016 to Mar 28, 2017
    • Insurance-licensed employees · 0 to 3
      Mar 26, 2016 to Mar 28, 2017
    • Discretionary RAUM · $72.3M to $62.9M
      Mar 26, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $45.7M to $53.3M
      Mar 26, 2016 to Mar 28, 2017
    • RAUM · $118M to $116M
      Mar 26, 2016 to Mar 28, 2017
    • Accounts · 236 to 295
      Aug 11, 2015 to Mar 26, 2016
    • Advisory employees · 4 to 3
      Aug 11, 2015 to Mar 26, 2016
    • BD registered reps · 4 to 3
      Aug 11, 2015 to Mar 26, 2016
    • Employees · 6 to 3
      Aug 11, 2015 to Mar 26, 2016
    • State-registered IARs · 0 to 3
      Aug 11, 2015 to Mar 26, 2016
    • Discretionary RAUM · $87.2M to $72.3M
      Aug 11, 2015 to Mar 26, 2016
    • Non-discretionary RAUM · $31.7M to $45.7M
      Aug 11, 2015 to Mar 26, 2016
    • RAUM · $119M to $118M
      Aug 11, 2015 to Mar 26, 2016
    • Accounts · 259 to 236
      Jan 13, 2015 to Mar 19, 2015
    • Advisory employees · 2 to 4
      Jan 13, 2015 to Mar 19, 2015
    • Advisory activities · 3 to 4
      Jan 13, 2015 to Mar 19, 2015
    • Employees · 5 to 6
      Jan 13, 2015 to Mar 19, 2015
    • Discretionary RAUM · $94.1M to $87.2M
      Jan 13, 2015 to Mar 19, 2015
    • Non-discretionary RAUM · $28.8M to $31.7M
      Jan 13, 2015 to Mar 19, 2015
    • RAUM · $123M to $119M
      Jan 13, 2015 to Mar 19, 2015
    • Accounts · 242 to 259
      Mar 18, 2014 to Sep 25, 2014
    • Advisory employees · 3 to 2
      Mar 18, 2014 to Sep 25, 2014
    • Discretionary RAUM · $99.2M to $94.1M
      Mar 18, 2014 to Sep 25, 2014
    • Non-discretionary RAUM · $20.1M to $28.8M
      Mar 18, 2014 to Sep 25, 2014
    • RAUM · $119M to $123M
      Mar 18, 2014 to Sep 25, 2014
    • Accounts · 223 to 242
      Sep 7, 2012 to Sep 27, 2013
    • Advisory employees · unset to 3.0
      Sep 7, 2012 to Sep 27, 2013
    • BD registered reps · unset to 4.0
      Sep 7, 2012 to Sep 27, 2013
    • Employees · unset to 5.0
      Sep 7, 2012 to Sep 27, 2013
    • State-registered IARs · unset to 0.0
      Sep 7, 2012 to Sep 27, 2013
    • Discretionary RAUM · $120M to $99.2M
      Sep 7, 2012 to Sep 27, 2013
    • Non-discretionary RAUM · $19.4M to $20.1M
      Sep 7, 2012 to Sep 27, 2013
    • RAUM · $139M to $119M
      Sep 7, 2012 to Sep 27, 2013
    • Accounts · 233 to 223
      Mar 16, 2012 to Sep 7, 2012
    • Financial planning clients · 0 to 1-10
      Mar 16, 2012 to Sep 7, 2012
    • Discretionary RAUM · $113M to $120M
      Mar 16, 2012 to Sep 7, 2012
    • Non-discretionary RAUM · $5.5M to $19.4M
      Mar 16, 2012 to Sep 7, 2012
    • RAUM · $119M to $139M
      Mar 16, 2012 to Sep 7, 2012
    • Accounts · 222 to 233
      Dec 13, 2011 to Mar 16, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 13, 2011 to Mar 16, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026