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

The Retirement Group, LLC

Former SEC-registered adviserSan Diego, CaliforniaCRD 148296SEC 801-69578IAPD
Latest filing Mar 28, 2024
First filing on the tape Nov 8, 2011 · 51 filings
RAUM
$544M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$544M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
20 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$544M as of Mar 28, 2024
Mar 30, 2012$44.5M then
HNW client RAUM$205M as of Mar 28, 2024
Mar 30, 2018$52.7M then
State-registered IARs (5.B.3)20 as of Mar 28, 2024
Mar 30, 20120 then
Employees (5.A)30 as of Mar 28, 2024
Apr 1, 201330 then
Private funds: no history
RAUM +24% over the last fiscal year+12% a year over threeIARs 20 to 20offices 11 to 10
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$27.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$307,080derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.8derived11 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.5%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
  • Individuals$340M62%
  • High-net-worth individuals$205M38%
Individual clients
1,650reported
HNW clients
125reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,773reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
  • Joseph Ronald Harpootlian · Chief Compliance Officercontrol
    since 08/2019 · owns less than 5%
  • Alexander John Jastremski · Managing Membercontrol
    since 08/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
San Diego, Ca · principal000
St Louis, Mo000
Long Beach, Ny000
Offices
Schedule D 1.F, the 25 largest
  • , 3 employees
  • St. Louis, MO2 employees
  • Novato, CA2 employees
  • Montgomery, TX1 employees
  • Austin, TX1 employees
  • San Diego, CA1 employees
  • St.Louis, MO1 employees
  • Old Monroe, MO1 employees
  • Dallas, TX1 employees
  • Hayden, ID1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,651 to 1,773
    Oct 9, 2023 to Mar 28, 2024
  • HNW clients · 83 to 125
    Oct 9, 2023 to Mar 28, 2024
  • Individual clients · 1,568 to 1,650
    Oct 9, 2023 to Mar 28, 2024
  • Discretionary RAUM · $437M to $544M
    Oct 9, 2023 to Mar 28, 2024
  • HNW RAUM · $147M to $205M
    Oct 9, 2023 to Mar 28, 2024
  • Individual RAUM · $290M to $340M
    Oct 9, 2023 to Mar 28, 2024
  • RAUM · $437M to $544M
    Oct 9, 2023 to Mar 28, 2024
  • Other offices · 11 to 10
    Mar 29, 2023 to Sep 6, 2023
  • Accounts · 2,225 to 1,651
    Mar 30, 2022 to Mar 29, 2023
  • HNW clients · 94 to 83
    Mar 30, 2022 to Mar 29, 2023
  • Individual clients · 1,424 to 1,568
    Mar 30, 2022 to Mar 29, 2023
  • Discretionary RAUM · $500M to $437M
    Mar 30, 2022 to Mar 29, 2023
  • HNW RAUM · $182M to $147M
    Mar 30, 2022 to Mar 29, 2023
  • Individual RAUM · $332M to $290M
    Mar 30, 2022 to Mar 29, 2023
  • Non-discretionary RAUM · $14.3M to $0
    Mar 30, 2022 to Mar 29, 2023
  • RAUM · $514M to $437M
    Mar 30, 2022 to Mar 29, 2023
  • Accounts · 1,536 to 2,225
    Dec 2, 2021 to Mar 30, 2022
  • HNW clients · 78 to 94
    Dec 2, 2021 to Mar 30, 2022
  • Individual clients · 1,134 to 1,424
    Dec 2, 2021 to Mar 30, 2022
  • Employees · 25 to 30
    Dec 2, 2021 to Mar 30, 2022
  • Insurance-licensed employees · 4 to 5
    Dec 2, 2021 to Mar 30, 2022
  • Discretionary RAUM · $382M to $500M
    Dec 2, 2021 to Mar 30, 2022
  • HNW RAUM · $133M to $182M
    Dec 2, 2021 to Mar 30, 2022
  • Individual RAUM · $253M to $332M
    Dec 2, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $3.8M to $14.3M
    Dec 2, 2021 to Mar 30, 2022
  • RAUM · $386M to $514M
    Dec 2, 2021 to Mar 30, 2022
  • Other offices · 12 to 11
    Nov 5, 2021 to Dec 2, 2021
  • Accounts · 2,038 to 1,536
    Jan 6, 2021 to Mar 31, 2021
  • Advisory employees · 25 to 20
    Jan 6, 2021 to Mar 31, 2021
  • BD registered reps · 25 to 20
    Jan 6, 2021 to Mar 31, 2021
  • HNW clients · 82 to 78
    Jan 6, 2021 to Mar 31, 2021
  • Individual clients · 1,956 to 1,134
    Jan 6, 2021 to Mar 31, 2021
  • Employees · 30 to 25
    Jan 6, 2021 to Mar 31, 2021
  • Insurance-licensed employees · 25 to 4
    Jan 6, 2021 to Mar 31, 2021
  • State-registered IARs · 25 to 20
    Jan 6, 2021 to Mar 31, 2021
  • Other offices · 13 to 12
    Jan 6, 2021 to Mar 31, 2021
  • Discretionary RAUM · $344M to $382M
    Jan 6, 2021 to Mar 31, 2021
  • HNW RAUM · $77.5M to $133M
    Jan 6, 2021 to Mar 31, 2021
  • Individual RAUM · $267M to $253M
    Jan 6, 2021 to Mar 31, 2021
  • Non-discretionary RAUM · $0 to $3.8M
    Jan 6, 2021 to Mar 31, 2021
Signals
27 dated events
  • Ronald Joseph Harpootlian left The Retirement Group, Llc for Osaic Wealth, Inc. (registered 2024-09-13)
    Jun 20, 2024 · Advisor changed firm · fact
  • Ethan Weisenberg left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-01)
    Jun 13, 2024 · Advisor changed firm · fact
  • Brian David Mclean left The Retirement Group, Llc for Osaic Wealth, Inc. (registered 2023-11-03)
    Jun 10, 2024 · Advisor changed firm · fact
  • Shayne Dean Kuebler left The Retirement Group, Llc for Fsc Securities Corporation (registered 2013-06-25)
    Jun 10, 2024 · Advisor changed firm · fact
  • 2 advisors left The Retirement Group, LLC (San Diego, CA) for Osaic Wealth, Inc. within 10 days
    Jun 10, 2024 · Team lift-out · derived
  • Paul Bergeron left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-15)
    Jun 7, 2024 · Advisor changed firm · fact
  • Carlos Manuel Hernandez left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    Jun 7, 2024 · Advisor changed firm · fact
  • Neva Bradley left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    Jun 7, 2024 · Advisor changed firm · fact
  • Jenna Lynn Blevins left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-01)
    Jun 7, 2024 · Advisor changed firm · fact
  • Patrick Ray left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    Jun 7, 2024 · Advisor changed firm · fact
  • Gregory Joseph Rolfes left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-01)
    Jun 7, 2024 · Advisor changed firm · fact
  • Brent Curtis Wolf left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    Jun 7, 2024 · Advisor changed firm · fact
  • Michael Corgiat left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-03)
    Jun 7, 2024 · Advisor changed firm · fact
  • Bill Edgar Henry left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-07)
    Jun 7, 2024 · Advisor changed firm · fact
  • Tyson Mavar left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    May 31, 2024 · Advisor changed firm · fact
  • Wesley Boudreaux left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    May 31, 2024 · Advisor changed firm · fact
  • The Retirement Group, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (San Diego, CA): 11 of 16 registered, within 7 days
    May 31, 2024 · Firm absorbed (people side) · derived
  • Kevin Landis left The Retirement Group, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-02)
    May 31, 2024 · Advisor changed firm · fact
  • Bruce Allen Cumbo left The Retirement Group, Llc for Allstate Financial Advisors, Llc (registered 2023-05-16)
    Jun 26, 2023 · Advisor changed firm · fact
  • Luke Dominic Podbury left The Retirement Group, Llc for Canter Wealth (registered 2023-01-20)
    Jan 23, 2023 · Advisor changed firm · fact
  • Steven Mark Boblis left The Retirement Group, Llc for Farther (registered 2022-11-21)
    Dec 21, 2022 · Advisor changed firm · fact
  • Bobbie Isabelle Torres left The Retirement Group, Llc for Farther (registered 2025-01-01)
    Dec 5, 2022 · Advisor changed firm · fact
  • Michael Chun Lee left The Retirement Group, Llc for Farther (registered 2022-02-28)
    Oct 6, 2022 · Advisor changed firm · fact
  • Brian Robert Koch left The Retirement Group, Llc for Missionsquare Retirement (registered 2022-11-15)
    Sep 30, 2022 · Advisor changed firm · fact
  • David Martinez left The Retirement Group, Llc for Centura Wealth Advisory (registered 2022-05-25)
    Jun 13, 2022 · Advisor changed firm · fact
  • The Retirement Group, Llc reported RAUM $514.0M, up 33% from $385.9M (2021-12-02 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • Joseph Ronald Harpootlian (Compliance Consultant) appeared on Schedule A of The Retirement Group, Llc
    Jan 17, 2019 · Control person joined · fact
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