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
Kobo Retirement Strategies
Legal name Kobo Retirement Strategies, LLC
Latest filing Mar 31, 2024
First filing on the tape Sep 6, 2016 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2024
Jun 10, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2024
Mar 8, 20173 then
Employees (5.A)3 as of Mar 31, 2024
Mar 8, 201710 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 31, 2024; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, publicationsreportedItem 5.G
- 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)
- controlled by a public reporting company (10.A)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- Cristopher Jon Borden to Ashton Thomas Private WealthDec 31, 2021 · Other
- Nathan Edwin Gierke to The Pacific GroupApr 27, 2018 · Other
- Mark Shuster to Global Retirement Partners LLCJun 23, 2017 · Other
Joined, latest
- Cristopher Jon Borden from Shuster Advisory Group, LLCMar 14, 2017 · Other
- Nathan Edwin Gierke from Shuster Advisory Group, LLCMar 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jon Cristopher Borden · Chief Investment Officercontrolsince 06/2016 · owns less than 5%
- Allan Mark Shuster · Managing Partnercontrolsince 06/2016 · owns 75% or more
- Joann Parrino · Ccosince 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
- Kobo Wealth Conservancyinvestment advisernRAUM $155M
- Shuster Advisory Group, LLCinvestment adviserLP sponsornRAUM $10B
- Shuster Financial & Insurance Services, Increal estaten
Advisers that list Kobo Retirement Strategies as a related person
- 170233 y
Offices
Schedule D 1.F, the 25 largest
- Honolulu, HI1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 1Jul 25, 2023 to Mar 31, 2024
- BD registered reps · 4 to 1Jul 25, 2023 to Mar 31, 2024
- Employees · 16 to 3Jul 25, 2023 to Mar 31, 2024
- Insurance-licensed employees · 2 to 1Jul 25, 2023 to Mar 31, 2024
- State-registered IARs · 2 to 1Jul 25, 2023 to Mar 31, 2024
- Advisory employees · 2 to 3Jun 10, 2022 to Jul 20, 2023
- Employees · 13 to 16Jun 10, 2022 to Jul 20, 2023
- Accounts · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- BD registered reps · 5 to 4Mar 27, 2020 to Jun 10, 2022
- Charity clients · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- Corporate clients · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- HNW clients · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- Individual clients · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- State-registered IARs · 5 to 2Mar 27, 2020 to Jun 10, 2022
- Discretionary RAUM · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- Non-discretionary RAUM · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- RAUM · unset to 0.0Mar 27, 2020 to Jun 10, 2022
- BD registered reps · 2 to 5Mar 29, 2019 to Mar 27, 2020
- Employees · 11 to 13Mar 29, 2019 to Mar 27, 2020
- Insurance-licensed employees · 3 to 2Mar 29, 2019 to Mar 27, 2020
- State-registered IARs · 4 to 5Mar 29, 2019 to Mar 27, 2020
- Employees · 9 to 11Mar 9, 2018 to Mar 29, 2019
- Financial planning clients · unset to 0Mar 9, 2018 to Mar 29, 2019
- State-registered IARs · 3 to 4Mar 9, 2018 to Mar 29, 2019
- Pension plan clients · unset to 0.0Mar 8, 2017 to Mar 9, 2018
- Pooled vehicle clients · unset to 0.0Mar 8, 2017 to Mar 9, 2018
- Employees · 10 to 9Mar 8, 2017 to Mar 9, 2018
- Other offices · unset to 1.0Mar 8, 2017 to Mar 9, 2018
- Accounts · 0.0 to unsetSep 6, 2016 to Mar 8, 2017
- Advisory activities · 2 to 3Sep 6, 2016 to Mar 8, 2017
- Employees · 6 to 10Sep 6, 2016 to Mar 8, 2017
- Discretionary RAUM · 0.0 to unsetSep 6, 2016 to Mar 8, 2017
- Non-discretionary RAUM · 0.0 to unsetSep 6, 2016 to Mar 8, 2017
- RAUM · 0.0 to unsetSep 6, 2016 to Mar 8, 2017
Signals
2 dated events
- Edwin Nathan Gierke (Chief Compliance Officer) no longer on Schedule A of Kobo Retirement Strategies (listed 2020-03-27, absent 2022-06-10)Jun 10, 2022 · Control person left · inference
- Kobo Retirement Strategies filed its initial SEC registration (Form ADV)Sep 6, 2016 · First SEC registration · 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