{ "crd_number": 315964, "slug": "mission-retirement-tomball-tx-315964", "primary_business_name": "MISSION RETIREMENT", "legal_name": "JOSEPH HOPKINS AND ASSOCIATES LLC", "dbas": [], "city": "Tomball", "state": "TX", "country": "United States", "cbsa_code": "26420", "metro": { "cbsa_code": "26420", "common_name": "Houston", "msa_name": "Houston-Pasadena-The Woodlands, TX", "path": "/advisors/tx/houston" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2021-10-26", "years_registered": 4, "period": "2026-10-01", "filing_date": "2026-03-06", "carried_forward": false, "raum_total": 67123347.0, "raum_discretionary": 67123347.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 2, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 30264598.0, "count": 128 }, "pension_profit_sharing": { "raum": 2932615.0, "count": 3 }, "high_net_worth_individuals": { "raum": 33789050.0, "count": 15 }, "corporations_other_businesses": { "raum": 137084.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "LA", "TX" ], "websites": [ "https://missionretirement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/315964", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "TOMBALL", "url": "https://advisorcensus.com/firm/mission-retirement-tomball-tx-315964", "display_name": "Mission Retirement", "summary": "Mission Retirement is a state-registered investment advisory firm in Tomball, TX, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 6, 2026.", "citation": "AdvisorCensus. Mission Retirement (CRD 315964): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Mission Retirement compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Mission Retirement reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Mission Retirement located?", "a": "Mission Retirement's principal office is in Tomball, TX, according to its Form ADV." }, { "q": "Is Mission Retirement registered with the SEC or a state?", "a": "Mission Retirement is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 315964." }, { "q": "How much does Mission Retirement manage?", "a": "Mission Retirement reports $67,123,347 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary)." }, { "q": "What types of clients does Mission Retirement serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (128); high net worth individuals (15); pension and profit sharing plans (but not the plan participants or government pension plans) (3)." }, { "q": "Does Mission Retirement report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/315964" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/mission-retirement-tomball-tx-315964.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 128, "fewer_than_5": false, "raum": 30264598.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 15, "fewer_than_5": false, "raum": 33789050.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 3, "fewer_than_5": false, "raum": 2932615.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": true, "raum": 137084.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/315964", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }