Retirement Consulting Group, Inc.
- Regulatory AUM
- $457M
- Discretionary
- $442M
- Clients
- 86
- Avg AUM / client
- $5.3M
- Accounts
- 192
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 33 | $14.6M | 3.19% |
| High net worth individuals | 40 | $104M | 22.8% |
| Banking or thrift institutions | 1 | $1.2M | 0.27% |
| Pension and profit sharing plans | 10 | $328M | 71.8% |
| Charitable organizations | 2 | $9.1M | 2.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Oregon Community Credit Union 401(k) Plan And Trust Oregon Community Credit Union | 2024 | |
| Mccall Companies Defined Benefit Retirement Plan Mccall Enterprises, Inc. | 2024 | |
| Cascade Eye & Skin Centers, P.C. Cash Balance Plan Cascade Eye & Skin Centers, P.C. | 2024 | |
| Cascade Eye & Skin Centers, P.C. Retirement Plan Cascade Eye & Skin Centers, P.C. | 2024 | |
| Toyo Tanso Usa, Inc. Savings And Profit Sharing Plan Toyo Tanso Usa, Inc. | Troutdale, OR | 2024 |
| Columbia Machine, Inc. Retirement Plan And Trust Columbia Machine, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Harold Upton | President | Feb 1997 (30y) | 75% or more | |
| Pohl, Brett, William | Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| James Abraham Monroe | Registered representative | Apr 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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 (6)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Oregon Community Credit Union 401(k) Plan And Trust | Oregon Community Credit Union | 605 | $67.8M | 01/01/2024 |
| Mccall Companies Defined Benefit Retirement Plan | Mccall Enterprises, Inc. | 32 | $26.7M | 01/01/2024 |
| Cascade Eye & Skin Centers, P.C. Cash Balance Plan | Cascade Eye & Skin Centers, P.C. | 212 | $4.1M | 01/01/2024 |
| Cascade Eye & Skin Centers, P.C. Retirement Plan | Cascade Eye & Skin Centers, P.C. | 289 | $38.3M | 01/01/2024 |
| Toyo Tanso Usa, Inc. Savings And Profit Sharing Plan | Toyo Tanso Usa, Inc. | 107 | $10.2M | 01/01/2024 |
| Columbia Machine, Inc. Retirement Plan And Trust | Columbia Machine, Inc. | 581 | $104M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 1010 KB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $191M (42% of AUM) Mar 2026
- Vanguard Marketing Corporation $130M (29% of AUM) Mar 2026
- Empower Financial Services, Inc. $80.2M (18% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Mar 11, 2026.
View current Form ADV (SEC/IAPD) ↗