# RETIREMENT CAPITAL STRATEGIES, INC.

RETIREMENT CAPITAL STRATEGIES, INC. of SAN JOSE, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 139009
- Type: SEC-registered investment adviser
- SEC file number: 801-70918
- Location: 1190 SARATOGA AVE., SUITE 140, SAN JOSE, CA, 95129
- Phone: 408-551-6100
- Latest filing: 2026-04-21
- Regulatory AUM: $305.2M
- Discretionary AUM: $305.2M
- Clients: 6
- Accounts: 627

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pensions

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| Thomas Earl Vaughan | CEO/PRESIDENT | — |
| Theresa Lucia Vasquez | CHIEF COMPLIANCE OFFICER | — |
| Camilla Elizabeth Neri | DIRECTOR | — |
| HILL GLENN JOSEPH | TRUSTEE | — |
| VAUGHAN THOMAS EARL | CEO & PRESIDENT; CEO/PRESIDENT; DIRECTOR (+1 more) | — |
| NERI CAMILLA ELIZABETH | DIRECTOR; TRUSTEE; VICE PRESIDENT | — |
| PHILIPP MICHAEL ROBERT | CEO & PRESIDENT; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER (+4 more) | — |
| VAUGHAN ALLISON | TRUSTEE | — |
| PHILIPP VIVIAN | TRUSTEE | — |
| HARRIS PAMELA DANELLE | CHIEF COMPLIANCE OFFICER | — |
| KUHLMANN KENT DOUGLAS | VICE PRESIDENT | — |
| VASQUEZ THERESA LUCIA | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-11-19 | regulatory | WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, RCS FAILED TO APPLY ADVISORY FEE DISCOUNTS TO CERTAIN CLIENT ACCOUNTS CONTRARY TO ITS DISCLOSURES AND REPRESENTATIONS TO CLIENTS, RESULTING IN THE IMPROPER CALCULATION OF ADVISORY FEES. THE SEC FURTHER FOUND THAT RCS DID NOT ADOPT A WRITTEN POLICY AND… | Final | $50K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/139009/brochure
- Similar advisers: https://search.stillhousedata.com/firm/139009/similar
- Related entities: https://search.stillhousedata.com/firm/139009/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/139009

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.