{ "crd_number": 173810, "slug": "the-retirement-specialist-of-central-ohio-newark-oh-173810", "primary_business_name": "THE RETIREMENT SPECIALIST OF CENTRAL OHIO", "legal_name": "THE RETIREMENT SPECIALIST OF CENTRAL OHIO, LLC", "dbas": [], "city": "Newark", "state": "OH", "country": "United States", "cbsa_code": "18140", "metro": { "cbsa_code": "18140", "common_name": "Columbus", "msa_name": "Columbus, OH", "path": "/advisors/oh/columbus" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2015-01-02", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-09-08", "carried_forward": false, "raum_total": 18824114.0, "raum_discretionary": 18824114.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 15587172.0, "count": 115 }, "pension_profit_sharing": { "raum": 108835.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 3128107.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "OH", "TN" ], "websites": [ "https://facebook.com/RETIREMENTSPECIALISTS", "https://maxretirementincome.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/173810", "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(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?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "NEWARK", "url": "https://advisorcensus.com/firm/the-retirement-specialist-of-central-ohio-newark-oh-173810", "display_name": "The Retirement Specialist of Central Ohio", "summary": "The Retirement Specialist of Central Ohio is a state-registered investment advisory firm in Newark, OH, registered since 2015, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 8, 2026.", "citation": "AdvisorCensus. The Retirement Specialist of Central Ohio (CRD 173810): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is The Retirement Specialist of Central Ohio compensated?", "a": "On its Form ADV (Item 5.E, October 2026), The Retirement Specialist of Central Ohio reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is The Retirement Specialist of Central Ohio located?", "a": "The Retirement Specialist of Central Ohio's principal office is in Newark, OH, according to its Form ADV." }, { "q": "Is The Retirement Specialist of Central Ohio registered with the SEC or a state?", "a": "The Retirement Specialist of Central Ohio is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 173810." }, { "q": "How much does The Retirement Specialist of Central Ohio manage?", "a": "The Retirement Specialist of Central Ohio reports $18,824,114 in regulatory assets under management in its Form ADV filing dated September 8, 2026 (100% discretionary)." }, { "q": "What types of clients does The Retirement Specialist of Central Ohio serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (115)." }, { "q": "Does The Retirement Specialist of Central Ohio report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.E(4) (self-regulatory organization's expulsion, suspension, 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/173810" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/the-retirement-specialist-of-central-ohio-newark-oh-173810.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 115, "fewer_than_5": false, "raum": 15587172.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": null, "fewer_than_5": true, "raum": 3128107.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 108835.0 } ], "disclosure_line": "Reports 3 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/173810", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }