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.
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SEC-registered adviser
R••••••••• P••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Dec 17, 2021 · 7 filings
SEC status approved since Jan 25, 2022
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.5%
$16.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$225M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$225M as of Mar 16, 2026
Mar 30, 2022$189M then
HNW client RAUM: $8.1M
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 30, 20225 then
Employees (5.A)6 as of Mar 16, 2026
Mar 30, 20225 then
Private funds: no history
RAUM -9.3% over the last fiscal year+2.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $225MderivedRAUM 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
- $809,032derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.3%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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
- Pension and profit-sharing plans$208M93%
- Individuals$16.8M7.5%
- Individual clients
- 200reported
- HNW clients
- n/areported
- Pension plan clients
- 78reported
- Charitable clients
- 0reported
- Accounts
- 278reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• T••••• R••••• | Westerville, Oh | Jan 31, 2018 | 29 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- B•••• A•••• B••••• to F•••••••Mar 27, 2024 · Other
- M•••••• T• H••• to P••• A••••• S••••••••• L••Mar 27, 2024 · Other
- R•••••• A•••• M•••• to M••••• S••••••Mar 27, 2024 · Other
Joined, latest
- M•••••• T• H••• from L•• F•••••••• L••Mar 20, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• R••••••• T••••• · President/Ccocontrolsince 06/2011 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 268 to 278Feb 21, 2025 to Mar 16, 2026
- Individual clients · 183 to 200Feb 21, 2025 to Mar 16, 2026
- Pension plan clients · 85 to 78Feb 21, 2025 to Mar 16, 2026
- Discretionary RAUM · $248M to $225MFeb 21, 2025 to Mar 16, 2026
- Individual RAUM · $17.2M to $16.8MFeb 21, 2025 to Mar 16, 2026
- Pension RAUM · $231M to $208MFeb 21, 2025 to Mar 16, 2026
- RAUM · $248M to $225MFeb 21, 2025 to Mar 16, 2026
- Accounts · 289 to 268Mar 26, 2024 to Feb 21, 2025
- Advisory employees · 2 to 1Mar 26, 2024 to Feb 21, 2025
- Corporate clients · 3 to 0Mar 26, 2024 to Feb 21, 2025
- HNW clients · 12.0 to unsetMar 26, 2024 to Feb 21, 2025
- Individual clients · 186 to 183Mar 26, 2024 to Feb 21, 2025
- Pension plan clients · 88 to 85Mar 26, 2024 to Feb 21, 2025
- Employees · 4 to 6Mar 26, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Feb 21, 2025
- State-registered IARs · 2 to 1Mar 26, 2024 to Feb 21, 2025
- Discretionary RAUM · $245M to $248MMar 26, 2024 to Feb 21, 2025
- HNW RAUM · 8145425.0 to unsetMar 26, 2024 to Feb 21, 2025
- Individual RAUM · $18.4M to $17.2MMar 26, 2024 to Feb 21, 2025
- Pension RAUM · $217M to $231MMar 26, 2024 to Feb 21, 2025
- RAUM · $245M to $248MMar 26, 2024 to Feb 21, 2025
- Accounts · 264 to 289Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 4 to 2Mar 30, 2023 to Mar 26, 2024
- Corporate clients · 0 to 3Mar 30, 2023 to Mar 26, 2024
- HNW clients · 0 to 12Mar 30, 2023 to Mar 26, 2024
- Individual clients · 179 to 186Mar 30, 2023 to Mar 26, 2024
- Pension plan clients · 85 to 88Mar 30, 2023 to Mar 26, 2024
- Employees · 7 to 4Mar 30, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 2Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $211M to $245MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · unset to 8145425.0Mar 30, 2023 to Mar 26, 2024
- Individual RAUM · $16.7M to $18.4MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $140 to $0Mar 30, 2023 to Mar 26, 2024
- Pension RAUM · $194M to $217MMar 30, 2023 to Mar 26, 2024
- RAUM · $211M to $245MMar 30, 2023 to Mar 26, 2024
- Accounts · 154 to 264Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 5 to 4Nov 4, 2022 to Mar 30, 2023
- Advisory activities · 2 to 3Nov 4, 2022 to Mar 30, 2023
- Individual clients · 87 to 179Nov 4, 2022 to Mar 30, 2023
- Pension plan clients · 67 to 85Nov 4, 2022 to Mar 30, 2023
Signals
4 dated events
- B•••• A•••• B••••• left R••••••••• P••••• I••• for Forusall (registered 2024-07-10)Mar 27, 2024 · Advisor changed firm · fact
- R•••••• A•••• M•••• left R••••••••• P••••• I••• for M••••• S•••••• (registered 2024-04-17)Mar 27, 2024 · Advisor changed firm · fact
- M•••••• T• H••• left R••••••••• P••••• I••• for P••• A••••• S••••••••• L•• (registered 2024-08-14)Mar 27, 2024 · Advisor changed firm · fact
- R••••••••• P••••• I••• filed its initial SEC registration (Form ADV)Dec 17, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/retirement-plans-inc-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.r••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-339-1910reportedpublic record, Form ADV, Mar 16, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $225Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026