RETIREMENT CAPITAL STRATEGIES, INC. of SAN JOSE, CA is an SEC-registered investment adviser (CRD 139009). Regulatory assets under management: $305.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| 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 | — |
| 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 |