SourcingSourcing

RETIREMENT PLANS, INC.

B57
CRD 286214·SEC 801-123069·WESTERVILLE, OH
AUM
$224.9M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$675K
@ 30% margin
Est. Deal Value
$5.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RETIREMENT PLANS, INC.
CRD
286214
SEC file #
801-123069
EIN
—
DBA names
—

Economics

AUM
$224.9M
AUM band
$100M-$500M
AUM trajectory
'22'26
$130.8M → $224.9M▲ +72%
Client mix
Individuals Other200
Pension Profit Sharing Plans78

Operations

Employees (total)
6
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'22'26
5 advisors → 1 advisors▼ -80%
Primary office
WESTERVILLE OH
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPension consultingEducational Seminars Workshops
Fee basis
% of AUM

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
rpi401k.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RITTER, RICHARD, THOMAS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
RITTER, RICHARD, THOMAS
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
RPI401K.COM
Rdap Domain Creation Date
2012-06-28T19:07:53Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
IONOS SE

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
7
Form 5500 Total Compensation
229,296
Form 5500 Compensation Trajectory 3y
2025229,296
Form 5500 Plan Count Trajectory 3y
20257
Schedule C Total Compensation
229,296
Schedule C Service Provider Rows
7

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
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-06-28T19:07:53Z
Rdap Domain Last Changed
2025-06-29T07:34:51Z
Rdap Nameservers
Ns1074.ui-dns.bizNs1074.ui-dns.comNs1074.ui-dns.deNs1074.ui-dns.org
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2706738
Trust Company Affiliate
No

People (1)

1
RITTER, RICHARD, THOMAS
IAR · Direct Owner · 87.5%
2706738