Professional Retirement Planning Inc.
State-registered
Institutional / Pension Advisor · Boutique (under $100M)
CRD 119137
· Houston, TX
· WWW.PRORETPLANS.COM
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ADV data as of Jan 13, 2026
- Regulatory AUM
- $39.8M
- Discretionary
- $28.3M
- Clients
- 7
- Avg AUM / client
- $5.7M
- Accounts
- 12
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2 | $2.0M | 5.02% |
| High net worth individuals | 1 | $6.5M | 16.4% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 4 | $31.3M | 78.6% |
| Charitable organizations | 0 | $0 | — |
| State or municipal government entities | 0 | $0 | — |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 0 | $0 | — |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ernie Francis Galliani | Registered representative | Feb 2020 (7y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/13/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Ascensus Trust Company $26.3M (66% of AUM) Jan 2026
- Fidelity Brokerage Services $13.2M (33% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 13, 2026.
View current Form ADV (SEC/IAPD) ↗