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.
SEC-registered adviser
Retirement Plan Advisors, LLC
Latest filing Jul 30, 2026
First filing on the tape Mar 23, 2012 · 51 filings
SEC status approved since Jul 14, 2004
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$798M individuals and HNW
Advisors
47
registered through the firm on IAPD
RAUM per advisor
$75.3M
derived; firm RAUM over IAPD count
Employees
47
47 advisory (5.B.1)
Offices
30
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$3.5B as of Jul 30, 2026
Mar 23, 2012$284M then
HNW client RAUM$163M as of Jul 30, 2026
Mar 25, 2019$5.8M then
State-registered IARs (5.B.3)47 as of Jul 30, 2026
Mar 26, 201340 then
Employees (5.A)47 as of Jul 30, 2026
Mar 26, 201342 then
Private funds: no history
RAUM +88% over the last fiscal year+48% a year over threeIARs 44 to 47offices 28 to 30
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $75.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $352,930derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived31 offices incl. principal (1.F.5)
- RAUM growth, one year
- +88%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$2.6B74%
- Individuals$635M18%
- High-net-worth individuals$163M4.6%
- Pooled investment vehicles$106M3.0%
- Individual clients
- 7,994reported
- HNW clients
- 103reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10,031reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $471M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.23 fund_share=0.03 institutional_share=0.74 related_bd=true related_bank=false bd_reps=39.0derived
Advisors registered through the firm
47 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joshua Fischel Schwartz | Chicago, Il | Dec 17, 2002 | 39 y | 0 |
| Jim Richard Ladlie | St. Peter'S, Mo | Jan 2, 2003 | 32 y | 0 |
| Jeffrey Stephen Casto | Mokena, Il | Jan 7, 2003 | 27 y | 0 |
| David Allen Holler | Chicago, Il | Jan 31, 2003 | 34 y | 0 |
| Thomas Anthony Ciesla | Shorewood, Il | Feb 23, 2004 | 28 y | 1 |
| Daniel Paul DoddCertified Financial Planner | Janesville, Wi | Jan 3, 2005 | 24 y | 0 |
| Charles Andrew Trachsel | St. Peter'S, Mo | Feb 17, 2006 | 32 y | 0 |
| Jeanne H. Badeaux-Carnline | Alexandria, La | Jan 4, 2008 | 36 y | 1 |
| Timothy Charles Rozelle | Chicago, Il | Sep 28, 2010 | 39 y | 0 |
| Eric C Mitchell | Macomb, Mi | Oct 29, 2010 | 20 y | 0 |
| Edna Theresa Delphin | Chicago, Il | Jan 12, 2011 | 17 y | 1 |
| Scott Robert BurbankChartered Financial Consultant | South Glastonbury, Ct | Feb 29, 2012 | 37 y | 0 |
| Angela Lynn TullarCertified Financial Planner | Chicago, Il | May 1, 2012 | 29 y | 0 |
| Brett Michael Pendleton | Chicago, Il | Nov 26, 2013 | 13 y | 1 |
| Kenneth Scott Mergen | Chicago, Il | Feb 13, 2014 | 31 y | 1 |
| Debra Lee Anton | Wichita, Ks | May 14, 2014 | 13 y | 1 |
| Matthew David MartinCertified Financial Planner | Northville, Mi | Nov 16, 2015 | 27 y | 3 |
| Matthew Adam Frank | Jefferson City, Mo | Apr 5, 2016 | 14 y | 0 |
| Robert James ManganoCertified Financial Planner | Cherry Hill, Nj | Mar 11, 2019 | 24 y | 0 |
| Michael Dean Allen | Lee'S Summit, Mo | Jan 13, 2020 | 34 y | 3 |
| Timothy Daniel HardenCertified Financial Planner, Chartered Financial Consultant | Chicago, Il | Oct 22, 2020 | 14 y | 6 |
| Thomas Paul Clooney | Chicago, Il | Nov 4, 2020 | 22 y | 4 |
| Sarah C Mckinzie | Jefferson City, Mo | Mar 9, 2021 | 18 y | 0 |
| Darren Weston Doughty | Parrish, Fl | Mar 2, 2022 | 26 y | 0 |
| Phillip William Holstrom | Lebanon, Oh | Jun 1, 2022 | 26 y | 4 |
| Alexander GaultChartered Financial Analyst | Chicago, Il | Jul 28, 2022 | 12 y | 0 |
| Edward James Tritschler | St. Louis, Mo | Aug 29, 2022 | 21 y | 4 |
| Taylor John KistnerChartered Financial Analyst | Chicago, Il | Dec 21, 2022 | 17 y | 0 |
| Duncan Pray | Metairie, La | Feb 10, 2023 | 14 y | 0 |
| Michael Allan Parker | Frisco, Tx | Mar 1, 2023 | 36 y | 1 |
| Nicholas Joseph Daugherty | Frisco, Tx | Mar 1, 2023 | 10 y | 2 |
| Brian Keith Box | Chicago, Il | Mar 1, 2023 | 22 y | 1 |
| Randall Alan Nelson | Northhill, Mi | Jun 16, 2023 | 36 y | 0 |
| David C Mccray | Chicago, Il | May 31, 2024 | 14 y | 1 |
| Stephen William Walters | Frisco, Tx | Jul 23, 2024 | 10 y | 1 |
| Kendal Patrick Shaw | Wesley Chapel, Fl | Feb 27, 2025 | 35 y | 3 |
| Christopher Michael Dobson | Chicago, Il | Mar 26, 2025 | 28 y | 1 |
| John Ray Piper | Chicago, Il | Apr 14, 2025 | 23 y | 2 |
| Emily C Knox | Chicago, Il | May 13, 2025 | 31 y | 6 |
| Michael Lloyd Hawes | Brown Deer, Wi | Jul 14, 2025 | 25 y | 4 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.4% of current headcount4 left over 36 months
Left, latest
- Edward Samuel Kindler to LPL Financial LLCMay 29, 2026 · RIA to affiliated broker-dealer or bank
- Shannon M. Davis to Planmember Securities CorporationApr 8, 2026 · RIA to RIA
- Jamilah Sheba Brown to LPL Enterprise, LLCFeb 3, 2026 · RIA to affiliated broker-dealer or bank
- Christopher Larry Wood to Hornor, Townsend & Kent, LLCMay 28, 2025 · RIA to RIA
- Kip Barry Robbins to Goelzer Investment ManagementNov 8, 2022 · RIA to RIA
- Kevin Norbert Linsmeier to Missionsquare RetirementApr 7, 2022 · Other
- Richard Tom Kaczor to Avantax Advisory ServicesJan 3, 2022 · RIA to affiliated broker-dealer or bank
- Colin Matthew Day to Correct Capital Wealth Management, LLCJun 9, 2020 · RIA to RIA
- Jill Rene Woods to Creative Financial Designs, Inc.Apr 1, 2020 · RIA to affiliated broker-dealer or bank
- Kenan Anderson Godfrey to Eagle Strategies LLCSep 21, 2017 · Other
- Susan Renee Foley to LPL Financial LLCApr 1, 2016 · Other
- Christopher John Fudacz to Blyth & Associates, Inc.Jun 11, 2015 · Other
- Michael Charles Marron to Sagepoint Financial, Inc.Mar 10, 2015 · Other
- Nicholas Brian Roedl to Northwestern Mutual Investment Services,LLCOct 24, 2014 · Other
- Denis Jeffrey Conlon to Fsc Securities CorporationFeb 25, 2013 · Other
Joined, latest
- Jake Matthew Schafer from Cetera Investment Advisers LLCFeb 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Eliot Dylan Marr from Bison Wealth, LLCJan 13, 2026 · RIA to RIA
- Jacey Johnson from Edward JonesNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Lloyd Hawes from Nationwide Investment Advisors, LLCJul 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- Emily C Knox from Nationwide Investment Advisors, LLCMay 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- John Ray Piper from Nationwide Investment Advisors, LLCApr 14, 2025 · Other
- Christopher Michael Dobson from Edward JonesMar 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Kendal Patrick Shaw from Ameritas Advisory Services, LLCFeb 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- Stephen William Walters from Ameriprise Financial Services, LLCJul 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- David C Mccray from Empower Advisory Group, LLCMay 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- Edward Samuel Kindler from Pnc Wealth ManagementMar 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- Brian Keith Box from Independent Financial PartnersMar 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Joseph Daugherty from Independent Financial PartnersMar 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Michael Allan Parker from Independent Financial PartnersMar 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Edward James Tritschler from Planmember Securities CorporationAug 29, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Fischel Joshua Schwartz · Chief Financial Officercontrolsince 10/2022 · owns less than 5%
- Fischel Joshua Schwartz · Ownercontrolsince 12/2021 · owns 25% to 50% of Retirement Plan Advisors Holdings, Inc.
- Matthew Frank · Chief Compliance Officersince 10/2022 · owns less than 5%
- John Taylor Kistner · Chief Investment Officersince 12/2022 · owns less than 5%
Entity owners
- Retirement Plan Advisors Group, LLC · Parent Companydirect · owns 75% or more
- Retirement Plan Advisors Holdings, Inc. · Parent Holding Companyindirect · owns 75% or more of Retirement Plan Advisors Group, LLC
Related persons
Schedule D 7.A
- Retirement Plan Advisors Services, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 42 | 7 | 1 | ||
| Jefferson City, Mo | 6 | 2 | 0 | ||
| Frisco, Tx | 5 | 0 | 0 | ||
| St Peters, Mo | 4 | 2 | 0 | ||
| Janesville, Wi | 3 | 0 | 0 | ||
| St Louis, Mo | 2 | 1 | 0 | ||
| Royal Oak, Mi | 0 | 0 | 1 | ||
| Hinckley, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- St. Peters, MO4 employees
- Jefferson City, MO4 employees
- Frisco, TX4 employees
- Janesville, WI2 employees
- Mcmillan, MI1 employees
- Metairie, LA1 employees
- Northville, MI1 employees
- Shorewood, IL1 employees
- Shreveport, LA1 employees
- South Lyon, MI1 employees
- St. Petersburg, FL1 employees
- Tracy, CA1 employees
- , 1 employees
- Georgetown, KY1 employees
- Lebanon, OH1 employees
- Lee'S Summit, MO1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 30, 2026institutional share of RAUM of 74% against a peer median of 3% (1360 comparable advisers, 99.0th percentile, 17.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,360) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $1,882,191,054 to $3,540,242,913 (+88.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +17.0% (1297 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 8,148 to 10,031Jun 2, 2025 to Mar 27, 2026
- Advisory employees · 44 to 47Jun 2, 2025 to Mar 27, 2026
- BD registered reps · 35 to 39Jun 2, 2025 to Mar 27, 2026
- HNW clients · 45 to 103Jun 2, 2025 to Mar 27, 2026
- Individual clients · 6,397 to 7,994Jun 2, 2025 to Mar 27, 2026
- Pooled vehicle clients · 1,545 to 1,758Jun 2, 2025 to Mar 27, 2026
- Employees · 44 to 47Jun 2, 2025 to Mar 27, 2026
- State-registered IARs · 44 to 47Jun 2, 2025 to Mar 27, 2026
- Other offices · 28 to 30Jun 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.9B to $3.5BJun 2, 2025 to Mar 27, 2026
- HNW RAUM · $75.3M to $163MJun 2, 2025 to Mar 27, 2026
- Individual RAUM · $421M to $635MJun 2, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $80.8M to $106MJun 2, 2025 to Mar 27, 2026
- RAUM · $1.9B to $3.5BJun 2, 2025 to Mar 27, 2026
- Wrap assets (manager) · $372M to $471MJun 2, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jun 2, 2025
- Accounts · 7,669 to 8,148Jan 28, 2025 to Mar 28, 2025
- Advisory employees · 45 to 44Jan 28, 2025 to Mar 28, 2025
- Advisory activities · 7 to 8Jan 28, 2025 to Mar 28, 2025
- BD registered reps · 36 to 35Jan 28, 2025 to Mar 28, 2025
- HNW clients · 33 to 45Jan 28, 2025 to Mar 28, 2025
- Individual clients · 6,018 to 6,397Jan 28, 2025 to Mar 28, 2025
- Pooled vehicle clients · 1,468 to 1,545Jan 28, 2025 to Mar 28, 2025
- Employees · 45 to 44Jan 28, 2025 to Mar 28, 2025
- State-registered IARs · 45 to 44Jan 28, 2025 to Mar 28, 2025
- Other offices · 26 to 28Jan 28, 2025 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $1.9BJan 28, 2025 to Mar 28, 2025
- HNW RAUM · $52.9M to $75.3MJan 28, 2025 to Mar 28, 2025
- Individual RAUM · $292M to $421MJan 28, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $79.8M to $80.8MJan 28, 2025 to Mar 28, 2025
- RAUM · $1.5B to $1.9BJan 28, 2025 to Mar 28, 2025
- Wrap assets (manager) · $305M to $372MJan 28, 2025 to Mar 28, 2025
- Accounts · 9,654 to 7,669May 31, 2024 to Dec 13, 2024
- Advisory employees · 43 to 45May 31, 2024 to Dec 13, 2024
- Individual clients · 7,486 to 6,018May 31, 2024 to Dec 13, 2024
- Pooled vehicle clients · unset to 1468.0May 31, 2024 to Dec 13, 2024
- Employees · 43 to 45May 31, 2024 to Dec 13, 2024
- State-registered IARs · 43 to 45May 31, 2024 to Dec 13, 2024
- Individual RAUM · $372M to $292MMay 31, 2024 to Dec 13, 2024
- Pooled vehicle RAUM · unset to 79756016.0May 31, 2024 to Dec 13, 2024
Signals
17 dated events
- Edward Samuel Kindler left Retirement Plan Advisors, Llc for Lpl Financial Llc (registered 2026-05-19)May 29, 2026 · Advisor changed firm · fact
- Shannon M. Davis left Retirement Plan Advisors, Llc for Planmember Securities Corporation (registered 2026-04-10)Apr 8, 2026 · Advisor changed firm · fact
- Retirement Plan Advisors, Llc reported RAUM $3.5B, up 88% from $1.9B (2025-06-02 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Jamilah Sheba Brown left Retirement Plan Advisors, Llc for Lpl Enterprise, Llc (registered 2026-02-03)Feb 3, 2026 · Advisor changed firm · fact
- Christopher Larry Wood left Retirement Plan Advisors, Llc for Hornor, Townsend & Kent, Llc (registered 2026-08-19)May 28, 2025 · Advisor changed firm · fact
- Retirement Plan Advisors, Llc reported RAUM $1.9B, up 28% from $1.5B (2025-01-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Retirement Plan Advisors, Llc reported RAUM $1.5B, up 34% from $1.1B (2023-06-16 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Kip Barry Robbins left Retirement Plan Advisors, Llc for Goelzer Investment Management (registered 2025-07-10)Nov 8, 2022 · Advisor changed firm · fact
- Jude Vernon Kempker (Chief Operations Officer) no longer on Schedule A of Retirement Plan Advisors, Llc (listed 2022-08-25, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- Lynn Jamie Strope (Chief Financial Officer) no longer on Schedule A of Retirement Plan Advisors, Llc (listed 2022-05-18, absent 2022-08-04)Aug 4, 2022 · Control person left · inference
- Lynn Jamie Strope (Chief Financial Officer) appeared on Schedule A of Retirement Plan Advisors, LlcMay 18, 2022 · Control person joined · fact
- Joseph Christopher Mcgrath (Chief Operations Officer) no longer on Schedule A of Retirement Plan Advisors, Llc (listed 2022-05-04, absent 2022-05-18)May 18, 2022 · Control person left · inference
- Kevin Norbert Linsmeier left Retirement Plan Advisors, Llc for Missionsquare Retirement (registered 2022-04-22)Apr 7, 2022 · Advisor changed firm · fact
- Retirement Plan Advisors, Llc reported RAUM $1.3B, up 25% from $1.0B (2022-01-26 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Richard Tom Kaczor left Retirement Plan Advisors, Llc for Avantax Advisory Services (registered 2022-02-02)Jan 3, 2022 · Advisor changed firm · fact
- Retirement Plan Advisors, Llc reported RAUM $1.0B, up 43% from $723.4M (2020-09-29 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Retirement Plan Advisors, Llc reported RAUM $530.6M, down 67% from $1.6B (2017-06-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 248-767-3828reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 504-454-6457reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 573-659-4443reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- RETIREMENTPLANADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-701-1100reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- retirementplanadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- retirementplanadvisors.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $75.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026