SourcingSourcing

NEXT GENERATION INVESTING, LLC

B56
CRD 149017·SEC 801-122399·TOPEKA, KS
AUM
$128.0M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$384K
@ 30% margin
Est. Deal Value
$3.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NEXT GENERATION INVESTING, LLC
CRD
149017
SEC file #
801-122399
EIN
—
DBA names
—

Economics

AUM
$128.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$118.0M → $128.0M▲ +8%
Client mix
Individuals Other130
Individuals High Net Worth115

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'22'26
2 advisors → 3 advisors▲ +50%
Primary office
TOPEKA KS
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
09/12/2023
ADV-W filed at
—
Website
retiretopeka.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHUMAKER, ROGER, WAYNE
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SHUMAKER, ROGER, WAYNE
SHUMAKER, RYAN, WAYNE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RETIRETOPEKA.COM
Rdap Domain Creation Date
2008-06-23T19:00:13Z
Rdap Firm Age Years
18
Rdap Firm Age Band
10-20y
Rdap Registrar
DreamHost, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Goldman Sachs2
Folio Institutional1
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-06-23T19:00:13Z
Rdap Domain Last Changed
2024-02-02T01:57:20Z
Rdap Nameservers
Ns1.dreamhost.comNs2.dreamhost.comNs3.dreamhost.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2890290
Trust Company Affiliate
No

People (3)

3
SHUMAKER, ROGER, WAYNE
IAR · Direct Owner · 62.5%
2890290
SHUMAKER, RYAN, WAYNE
IAR · Direct Owner · 37.5%
5598699
Joel Parker Kasten
IAR
7570795