Retirement Plan Advisors, Llc
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 122758
· SEC file 801-63261
· Chicago, IL
· WWW.RETIREMENTPLANADVISORS.COM
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ADV data as of Jul 30, 2026
- Regulatory AUM
- $3.5B
- Discretionary
- $3.5B
- Clients
- 10,031
- Avg AUM / client
- $353K
- Accounts
- 10,031
- Employees
- 47
AUM over time
$284M
$3.5B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 7,994 | $635M | 17.9% |
| High net worth individuals | 103 | $163M | 4.6% |
| Pooled investment vehicles (non-investment companies) | 1,758 | $106M | 2.99% |
| State or municipal government entities | 176 | $2.6B | 74.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cairn University 403(b) Plan Cairn University | 2024 |
People (44)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joshua Fischel Schwartz | Chief Executive Officer | Dec 2002 (24y) | ≈ 14.06% – 50% via Retirement Plan Advisors Holdings, Inc. | |
| Matthew Adam Frank | Chief Compliance Officer | Apr 2016 (10y) | Less than 5% | |
| Taylor John Kistner | Chief Investment Officer | CFA | Dec 2022 (4y) | Less than 5% |
| Jim Richard Ladlie | Registered representative | Jan 2003 (24y) | ||
| Jeffrey Stephen Casto | Registered representative | Jan 2003 (24y) | ||
| David Allen Holler | Registered representative | Jan 2003 (24y) | ||
| Thomas Anthony Ciesla | Registered representative | Feb 2004 (22y) | ||
| Daniel Paul Dodd | Registered representative | CFP | Jan 2005 (22y) | |
| Charles Andrew Trachsel | Registered representative | Feb 2006 (20y) | ||
| Jeanne H. Badeaux Carnline | Registered representative | Jan 2008 (19y) | ||
| Timothy Charles Rozelle | Registered representative | Sep 2010 (16y) | ||
| Eric C Mitchell | Registered representative | Oct 2010 (16y) | ||
| Edna Theresa Delphin | Registered representative | Jan 2011 (16y) | ||
| Scott Robert Burbank | Registered representative | Chartered Financial Consultant | Feb 2012 (14y) | |
| Angela Lynn Tullar | Registered representative | CFP | May 2012 (14y) | |
| Brett Michael Pendleton | Registered representative | Nov 2013 (13y) | ||
| Kenneth Scott Mergen | Registered representative | Feb 2014 (12y) | ||
| Debra Lee Anton | Registered representative | May 2014 (12y) | ||
| Matthew David Martin | Registered representative | CFP | Nov 2015 (11y) | |
| Robert James Mangano | Registered representative | CFP | Mar 2019 (7y) | |
| Michael Dean Allen | Registered representative | Jan 2020 (7y) | ||
| Timothy Daniel Harden | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Thomas Paul Clooney | Registered representative | Nov 2020 (6y) | ||
| Sarah C Mc Kinzie | Registered representative | Mar 2021 (5y) | ||
| Darren Weston Doughty | Registered representative | Mar 2022 (4y) | ||
| Phillip William Holstrom | Registered representative | Jun 2022 (4y) | ||
| Alexander Gault | Registered representative | CFA | Jul 2022 (4y) | |
| Edward James Tritschler | Registered representative | Aug 2022 (4y) | ||
| Duncan Pray | Registered representative | Feb 2023 (3y) | ||
| Brian Keith Box | Registered representative | Mar 2023 (3y) | ||
| Michael Allan Parker | Registered representative | Mar 2023 (3y) | ||
| Nicholas Joseph Daugherty | Registered representative | Mar 2023 (3y) | ||
| Randall Alan Nelson | Registered representative | Jun 2023 (3y) | ||
| David C Mccray | Registered representative | May 2024 (2y) | ||
| Stephen William Walters | Registered representative | Jul 2024 (2y) | ||
| Kendal Patrick Shaw | Registered representative | Feb 2025 (1y) | ||
| Christopher Michael Dobson | Registered representative | Mar 2025 (1y) | ||
| John Ray Piper | Registered representative | Apr 2025 (1y) | ||
| Emily C Knox | Registered representative | May 2025 (1y) | ||
| Michael Lloyd Hawes | Registered representative | Jul 2025 (1y) | ||
| Jacey Johnson | Registered representative | Nov 2025 (1y) | ||
| Eliot Dylan Marr | Registered representative | Jan 2026 (1y) | ||
| Jake Matthew Schafer | Registered representative | Feb 2026 (0y) | ||
| Angel Luis Nieves | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Retirement Plan Advisors Group, Llc | Parent Company | Jan 2014 | A | 75% or more |
| Retirement Plan Advisors Holdings, Inc. | Parent Holding Company | Dec 2021 | B | ≈ 56.25% – 100% via Retirement Plan Advisors Group, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Joshua Fischel Schwartz: 25% – 50% of Retirement Plan Advisors Holdings, Inc. × 75% – 100% of Retirement Plan Advisors Group, Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Retirement Plan Advisors Holdings, Inc.: 75% – 100% of Retirement Plan Advisors Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cairn University 403(b) Plan | Cairn University | 324 | $20.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.03 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Great West Trust Company, Llc $1.7B (47% of AUM) Mar 2026
- Mml Investors Services, Llc $420M (41% of AUM) Jan 2022
- National Financial Services (Fidelity) $403M (11% of AUM) Mar 2026
- Pershing $197M (10% of AUM) Jun 2025
- Voya Institutional Trust Company $136M (9% of AUM) Jan 2025
- Standard Retirement Services $125M (11% of AUM) Jun 2023
- Umb Bank $86.1M (12% of AUM) Sep 2020
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: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗