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 Strategies, Inc.

Former SEC-registered adviserJacksonville, FloridaCRD 134385SEC 801-64010IAPD
Latest filing Mar 28, 2018
First filing on the tape Dec 15, 2011 · 12 filings
RAUM
$341M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$320M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$341M as of Mar 28, 2018
Mar 27, 2012$130M then
HNW client RAUM: $269M
State-registered IARs (5.B.3)10 as of Mar 28, 2018
Mar 27, 20120 then
Employees (5.A)10 as of Mar 28, 2018
Mar 15, 20135 then
Private funds: no history
RAUM +7.9% over the last fiscal year+8.3% a year over threeIARs 8 to 10
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$297,454derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.9%derivedbetween the last two annual amendments
Advisor growth, one year
+25%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 advisers, otherreportedItem 5.G
Custody
$111M, 135 clientsreportedItem 9.A
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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$269M79%
  • Individuals$51.2M15%
  • Pension and profit-sharing plans$16.7M4.9%
  • Charitable organizations$4.3M1.3%
Individual clients
217reported
HNW clients
146reported
Pension plan clients
13reported
Charitable clients
1reported
Accounts
1,146reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$111M for 135 clientsreported
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
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
    • William James Carr · Secretarycontrol
      since 01/1994 · owns less than 5%
    • Sheldon William Hart · Presidentcontrol
      since 01/1994 · owns less than 5%
    • William James Carr · Membercontrol
      since 07/2005 · owns 25% to 50% of Retirement Strategies, LLC
    • Sheldon William Hart · Membercontrol
      since 07/2005 · owns 25% to 50% of Retirement Strategies, LLC
    • Mary Beth Neeley · Chief Compliance Officer
      since 02/2005 · owns less than 5%
    Entity owners
    • Retirement Strategies, LLC · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,180 to 1,146
      Mar 26, 2017 to Mar 28, 2018
    • Advisory employees · 8 to 10
      Mar 26, 2017 to Mar 28, 2018
    • Charity clients · unset to 1.0
      Mar 26, 2017 to Mar 28, 2018
    • Corporate clients · unset to 0.0
      Mar 26, 2017 to Mar 28, 2018
    • HNW clients · unset to 146.0
      Mar 26, 2017 to Mar 28, 2018
    • Individual clients · unset to 217.0
      Mar 26, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 13.0
      Mar 26, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 26, 2017 to Mar 28, 2018
    • Assets in custody · $2.6M to $111M
      Mar 26, 2017 to Mar 28, 2018
    • Custody of client assets · false to true
      Mar 26, 2017 to Mar 28, 2018
    • Employees · 8 to 10
      Mar 26, 2017 to Mar 28, 2018
    • State-registered IARs · 8 to 10
      Mar 26, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 26, 2017 to Mar 28, 2018
    • Discretionary RAUM · $296M to $324M
      Mar 26, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 268676125.0
      Mar 26, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 51176405.0
      Mar 26, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $20.1M to $16.7M
      Mar 26, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 16687683.0
      Mar 26, 2017 to Mar 28, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 26, 2017 to Mar 28, 2018
    • RAUM · $316M to $341M
      Mar 26, 2017 to Mar 28, 2018
    • Accounts · 1,144 to 1,180
      Mar 30, 2016 to Mar 26, 2017
    • BD registered reps · 1 to 0
      Mar 30, 2016 to Mar 26, 2017
    • Assets in custody · $7.9M to $2.6M
      Mar 30, 2016 to Mar 26, 2017
    • Custody of client assets · true to false
      Mar 30, 2016 to Mar 26, 2017
    • Discretionary RAUM · $261M to $296M
      Mar 30, 2016 to Mar 26, 2017
    • Non-discretionary RAUM · $13.2M to $20.1M
      Mar 30, 2016 to Mar 26, 2017
    • RAUM · $274M to $316M
      Mar 30, 2016 to Mar 26, 2017
    • Accounts · 1,123 to 1,144
      Mar 10, 2015 to Mar 30, 2016
    • BD registered reps · 2 to 1
      Mar 10, 2015 to Mar 30, 2016
    • Assets in custody · $2.4M to $7.9M
      Mar 10, 2015 to Mar 30, 2016
    • Discretionary RAUM · $261M to $261M
      Mar 10, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $7.1M to $13.2M
      Mar 10, 2015 to Mar 30, 2016
    • RAUM · $269M to $274M
      Mar 10, 2015 to Mar 30, 2016
    • Accounts · 1,309 to 1,123
      Mar 21, 2014 to Mar 10, 2015
    • BD registered reps · 4 to 2
      Mar 21, 2014 to Mar 10, 2015
    • Assets in custody · $3.5M to $2.4M
      Mar 21, 2014 to Mar 10, 2015
    • Employees · 9 to 8
      Mar 21, 2014 to Mar 10, 2015
    • Discretionary RAUM · $232M to $261M
      Mar 21, 2014 to Mar 10, 2015
    • Non-discretionary RAUM · $6.6M to $7.1M
      Mar 21, 2014 to Mar 10, 2015
    • RAUM · $238M to $269M
      Mar 21, 2014 to Mar 10, 2015
    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