SourcingSourcing

RETIREMENT CONSULTING GROUP, INC.

B61
CRD 311184·SEC 801-119724·LAKE OSWEGO, OR
AUM
$457.0M
$100M-$500M
Est. Revenue
$4.6M
@ 1% on AUM
Est. EBITDA
$1.4M
@ 30% margin
Est. Deal Value
$11.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RETIREMENT CONSULTING GROUP, INC.
CRD
311184
SEC file #
801-119724
EIN
—
DBA names
—

Economics

AUM
$457.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$361.9M → $457.0M▲ +26%
Client mix
Individuals High Net Worth40
Individuals Other33
Pension Profit Sharing Plans10
Charitable Organizations2
Banking Institutions1

Operations

Employees (total)
4
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'21'26
2 advisors → 1 advisors▼ -50%
Primary office
LAKE OSWEGO OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingEducational Seminars Workshops
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
retirementconsulting.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UPTON, JOHN, HAROLD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
UPTON, JOHN, HAROLD
POHL, BRETT, WILLIAM
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
RETIREMENTCONSULTING.COM
Rdap Domain Creation Date
1997-03-07T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
6
Form 5500 Total Compensation
242,899
Form 5500 Compensation Trajectory 3y
2025242,899
Form 5500 Plan Count Trajectory 3y
20256
Schedule C Total Compensation
242,899
Schedule C Service Provider Rows
6

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab9
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-03-08T05:00:00Z
Rdap Domain Last Changed
2021-03-08T22:07:10Z
Rdap Nameservers
Ns51.worldnic.comNs52.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1363612
Trust Company Affiliate
No

People (3)

3
UPTON, JOHN, HAROLD
IAR · Direct Owner · 87.5%
1363612
POHL, BRETT, WILLIAM
Executive Officer · 2.5%
5896497
JAMES ABRAHAM MONROE
IAR
7153283