Merriam, KS Office
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Retirement Planning Specialists - Midwest, LLC
Independent
Firm-wide stats for Retirement Planning Specialists - Midwest, LLC
Total advisors
1Clients per advisor
200 Very HighAvg AUM per client
$0 Very LowHNW client ratio
0% LowAbout
Retirement Planning Specialists - Midwest, LLC serves individual clients with financial planning, consulting, and public educational seminars and acts primarily as an intermediary to outside portfolio managers; the firm reports servicing roughly 200 clients. It does not manage client assets directly and instead refers investors to a third-party manager for investment implementation.
After collecting client financial information and objectives, the firm recommends and helps onboard third-party money managers, monitors their performance, and reviews quarterly statements while the third-party managers retain trading discretion. Financial planning and consultation are offered separately and the firm runs free, educational seminars and workshops for the public.
The brochure discloses a June 2024 consent order with the State of Nebraska alleging unregistered advisory activity, resolved with a payment of $8,720. Unlike many peers, the firm does not charge a direct percentage-of-AUM fee or provide portfolio management itself; its principals also maintain an affiliated insurance business and the firm receives referral and incentive payments from the third-party manager—conflicts the brochure discloses and describes procedures to mitigate.
Expertise
Location
8500 Shawnee Mission Pkwy, Suite L20
Merriam KS 66202
Advisors at this office
1
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