Retirement Resources Investment Corporation
- Regulatory AUM
- $2.4B
- Discretionary
- $146M
- Clients
- 152
- Avg AUM / client
- $16.1M
- Accounts
- 299
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Apr 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 73 | $28.3M | 1.16% |
| High net worth individuals | 48 | $131M | 5.37% |
| Pension and profit sharing plans | 31 | $2.3B | 93.4% |
| Charitable organizations | Fewer than 5 clients | $54.4K | 0.0% |
| Corporations and other businesses | Fewer than 5 clients | $626K | 0.03% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Conres Smart Retire Plan Continental Resources, Inc. | 2024 | |
| Dtiq 401(k) Plan Dtiq Technologies, Inc. | 2024 | |
| Heritage Valley Health System 403(b) Plan Valley Medical Facilities, Inc. | 2024 | |
| Heritage Valley Health System 401(k) Plan Heritage Valley Health System | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Franklin Phillips | Vice President | Oct 2005 (21y) | Less than 5% | |
| Patrick P Mcginn | President And Chief Compliance Officer | CFA | Jul 2007 (19y) | 75% or more |
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 (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Conres Smart Retire Plan | Continental Resources, Inc. | 297 | $86.3M | 01/01/2024 |
| Dtiq 401(k) Plan | Dtiq Technologies, Inc. | 172 | $7.6M | 01/01/2024 |
| Heritage Valley Health System 403(b) Plan | Valley Medical Facilities, Inc. | 2,664 | $372M | 01/01/2024 |
| Heritage Valley Health System 401(k) Plan | Heritage Valley Health System | 1,368 | $142M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/28/2026 | 896 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
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $1.2B (50% of AUM) Apr 2026
- Ascensus Financial Services, Llc. $814M (33% of AUM) Apr 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: Apr 28, 2026.
View current Form ADV (SEC/IAPD) ↗