The Retirement Planning Specialists, LLC (Greenwood Village)

Name: The Retirement Planning Specialists, LLC
Address: 5460 S. Quebec St, Greenwood Village, CO, 80111
Telephone: 303-771-3088

The Retirement Planning Specialists, LLC is a large advisory firm based in Greenwood Village. It manages $137.57 million of regulatory assets for 708 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Colorado and Texas.

The Retirement Planning Specialists provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Retirement Planning Specialists: assets under management

The assets under management (AUM) of The Retirement Planning Specialists, LLC is $137.57 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 99% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $137.57 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $194.31 thousand each.

The Retirement Planning Specialists has custody of $44.02 million in cash and securities for 75 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 89% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 6% of the firm’s portfolio. Investments in exchange traded securities form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Retirement Planning Specialists, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients The Retirement Planning Specialists serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of The Retirement Planning Specialists is high net worth individuals with 49 clients and $78.64 million of assets under management. Among the 9 most similar advisory firms, The Retirement Planning Specialists has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $137.57 million for 279 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

The Retirement Planning Specialists doesn't advise any private funds.

Careers at The Retirement Planning Specialists, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sean Franklin Curley	Managing member, chief compliance officer, certified financial planner	1 Jun 1997	75% - 100%	2439977

Based in Greenwood Village

The principal office where The Retirement Planning Specialists, LLC performs its advisory services is located at 5460 S. Quebec St, Greenwood Village, CO 80111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-771-3088 or by fax 303-699-9099. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at rpspecialists.com.