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 Planning Group, LLC
Latest filing Aug 10, 2026
First filing on the tape Aug 27, 2020 · 14 filings
SEC status approved since Sep 28, 2020
RAUM
$375M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$373M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$93.8M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$375M as of Aug 10, 2026
Mar 3, 2021$150M then
HNW client RAUM$115M as of Aug 10, 2026
Mar 3, 2021$50.0M then
State-registered IARs (5.B.3)4 as of Aug 10, 2026
Mar 3, 20213 then
Employees (5.A)8 as of Aug 10, 2026
Mar 3, 20216 then
Private funds: no history
RAUM +33% over the last fiscal year+27% a year over threeIARs 3 to 4offices 4 to 2
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $93.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 261derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $218,759derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $55.1M, 88 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$258M69%
- High-net-worth individuals$115M31%
- Corporations and businesses$1.1M0.3%
- Charitable organizations$898,5000.2%
- Individual clients
- 968reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,716reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.1M for 88 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David M Kopyc | Malta, Ny | Jul 29, 2021 | 42 y | 4 |
| Christopher Alan Mccarthy | Malta, Ny | Aug 2, 2024 | 40 y | 1 |
| Kristopher W Kopyc | Malta, Ny | Apr 16, 2025 | 12 y | 0 |
| Jeremy PriceCertified Financial Planner | Malta, Ny | Jul 15, 2026 | 14 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Nicolas George Dumas to Silver Oak Securities, Inc.Sep 4, 2026 · RIA to affiliated broker-dealer or bank
- James Thomas Cox to Continuum Wealth Advisors, LLCFeb 10, 2023 · RIA to RIA
Joined, latest
- Jeremy Price from Goldman Sachs Wealth Services, L.P.Jul 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- Christopher Alan Mccarthy from Hazard & Siegel Advisory Services LLCAug 2, 2024 · Other
- David M Kopyc from Arbor Point AdvisorsJul 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- Nicolas George Dumas from Arbor Point AdvisorsJul 26, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Arbor Point AdvisorsJan 5, 2021 · Malta, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M David Kopyc · President And Chief Compliance Officercontrolsince 08/2020 · 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 |
|---|---|---|---|---|---|
| Malta, Ny · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Albany, NY1 employees
- East Syracuse, NY1 employees
- Glens Falls, NY1 employees
- Oneonta, NY1 employees
- Queensbury, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 10, 2026private clients per advisor of 260.8 against a peer median of 57.3 (3075 comparable advisers, 99.0th percentile, 5.8 robust deviations)peers: independent wealth managers, $100M to $500M (3,075) · 99% percentile
- office count dropChange between filings · filing Mar 2, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-04-10 and 2026-03-02; the peer median change was 0.0% (450 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 1,430 to 1,716Nov 19, 2025 to Mar 2, 2026
- BD registered reps · 4 to 3Nov 19, 2025 to Mar 2, 2026
- HNW clients · 60 to 75Nov 19, 2025 to Mar 2, 2026
- Individual clients · 890 to 968Nov 19, 2025 to Mar 2, 2026
- Assets in custody · $56.8M to $55.1MNov 19, 2025 to Mar 2, 2026
- Employees · 7 to 8Nov 19, 2025 to Mar 2, 2026
- State-registered IARs · 3 to 4Nov 19, 2025 to Mar 2, 2026
- Other offices · 3 to 2Nov 19, 2025 to Mar 2, 2026
- Discretionary RAUM · $283M to $375MNov 19, 2025 to Mar 2, 2026
- HNW RAUM · $75.0M to $115MNov 19, 2025 to Mar 2, 2026
- Individual RAUM · $207M to $258MNov 19, 2025 to Mar 2, 2026
- RAUM · $283M to $375MNov 19, 2025 to Mar 2, 2026
- Other offices · 4 to 3Apr 10, 2025 to Nov 19, 2025
- Financial planning clients · 101-250 to 101-250Feb 26, 2025 to Apr 10, 2025
- Accounts · 1,399 to 1,430Mar 1, 2024 to Feb 26, 2025
- Advisory employees · 2 to 4Mar 1, 2024 to Feb 26, 2025
- BD registered reps · 2 to 4Mar 1, 2024 to Feb 26, 2025
- HNW clients · 58 to 60Mar 1, 2024 to Feb 26, 2025
- Individual clients · 716 to 890Mar 1, 2024 to Feb 26, 2025
- Assets in custody · $144M to $56.8MMar 1, 2024 to Feb 26, 2025
- Employees · 6 to 7Mar 1, 2024 to Feb 26, 2025
- Financial planning clients · More than 500 to 101-250Mar 1, 2024 to Feb 26, 2025
- State-registered IARs · 2 to 3Mar 1, 2024 to Feb 26, 2025
- Other offices · 5 to 4Mar 1, 2024 to Feb 26, 2025
- Discretionary RAUM · $244M to $283MMar 1, 2024 to Feb 26, 2025
- HNW RAUM · $92.5M to $75.0MMar 1, 2024 to Feb 26, 2025
- Individual RAUM · $151M to $207MMar 1, 2024 to Feb 26, 2025
- RAUM · $244M to $283MMar 1, 2024 to Feb 26, 2025
- Accounts · 1,150 to 1,399Aug 24, 2023 to Mar 1, 2024
- HNW clients · 22 to 58Aug 24, 2023 to Mar 1, 2024
- Individual clients · 544 to 716Aug 24, 2023 to Mar 1, 2024
- Assets in custody · $163M to $144MAug 24, 2023 to Mar 1, 2024
- Other offices · 1 to 5Aug 24, 2023 to Mar 1, 2024
- Discretionary RAUM · $185M to $244MAug 24, 2023 to Mar 1, 2024
- HNW RAUM · $30.0M to $92.5MAug 24, 2023 to Mar 1, 2024
- Individual RAUM · $155M to $151MAug 24, 2023 to Mar 1, 2024
- RAUM · $185M to $244MAug 24, 2023 to Mar 1, 2024
- Accounts · 912 to 1,150Feb 22, 2022 to Feb 24, 2023
- Advisory employees · 3 to 2Feb 22, 2022 to Feb 24, 2023
- BD registered reps · 3 to 2Feb 22, 2022 to Feb 24, 2023
Signals
3 dated events
- Nicolas George Dumas left Retirement Planning Group, Llc for Silver Oak Securities, Inc. (registered 2026-09-01)Sep 4, 2026 · Advisor changed firm · fact
- James Thomas Cox left Retirement Planning Group, Llc for Continuum Wealth Advisors, Llc (registered 2023-03-13)Feb 10, 2023 · Advisor changed firm · fact
- Retirement Planning Group, Llc filed its initial SEC registration (Form ADV)Aug 27, 2020 · 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
- Business email
- service@rpgretire.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jyost@rpgretire.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jimc@rpgretire.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-580-1919reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-580-1194reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-580-1919reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- rpgretire.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (518) 580-1919reportedpublic record, Form ADV, Aug 10, 2026
- Contact form
- rpgretire.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rpgretire.com/who-we-arereportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026