Rtd Financial Advisors Inc (Philadelphia)

Name: Rtd Financial Advisors Inc
Address: 30 S. 17 Th Street, Philadelphia, PA, 19103
Telephone: 215-557-3800

Rtd Financial Advisors Inc is a large advisory firm based in Philadelphia. It manages $1.49 billion of regulatory assets for 649 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Delaware, and 12 other states.

Rtd Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Rtd Financial Advisors: assets under management

The assets under management (AUM) of Rtd Financial Advisors Inc is $1.49 billion. The firm's AUM has grown by 915% since the beginning of its operation, and $1.17 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.46 billion in discretionary accounts and $26.72 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.3 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.91 million.

Investments

The firm invests in investment and business development companies the most. They account for 49% of the total AUM. The second-largest asset type is exchange traded securities, which make up 26% of the firm’s portfolio. Investments in state and local bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rtd Financial Advisors Inc for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Roy Thomas Diliberto serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Roy Thomas Diliberto is high net worth individuals with 400 clients and $939.72 million of assets under management. Among the 11 most similar advisory firms, Rtd Financial Advisors has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.49 billion for 647 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Rtd Financial Advisors doesn't advise any private funds.

Careers at Rtd Financial Advisors Inc

The company employs 34 people that are either part- or full-time employees. 9 percent of the employees work as investment advisers or researchers. 18 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Roy Thomas Diliberto has been acting as President since 1 Jan 2001. Marc Charles Labadie has served as the Chief Investment Officer since 1 Jan 2015. Rachel Fieweger Moran joined the executive team most recently as the Senior Financial Planner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jane A Rose	Vice president	1 Jan 1995	Other	1969763
Roy Thomas Diliberto	Chairman	1 Jan 2001	50% - 75%	67983
Richard Joseph Busillo	President	1 Jan 2001	Other	725324
Jeffrey Alan Weiand	Senior vice president	1 Jan 2001	Other	1414639
Anthony Joseph Diliberto	Planner	1 Jan 2001	Other	1838051
John Frank Hochschwender	Vice president	1 Jul 2004	Other	1395619
Jeffrey Alan Weiand	President and chief compliance officer	1 Jul 2013	25% - 50%	1414639
Richard John Durso	Director of financial planning	1 Jul 2013	Other	2772293
Roy Thomas Diliberto	Founder	1 Jan 2015	50% - 75%	67983
Richard Joseph Busillo	Chairman and ceo	1 Jan 2015	25% - 50%	725324
John Frank Hochschwender	Executive vice president	1 Jan 2015	Other	1395619
Michael James Smith	Senior vice president	1 Jan 2015	Other	1504622
Marc Charles Labadie	Chief investment officer	1 Jan 2015	Other	5126545
Mitchell Jeffrey Metz	Senior vice president	1 Mar 2016	Other	1417894
Christopher None Vassallo	Director of business development	1 Mar 2017	Other	6125551
Elizabeth Ann Davies	Vice president	1 Mar 2017	Other	4539631
Rachel Fieweger Moran	Senior financial planner	1 Apr 2018	Other	5680934

Based in Philadelphia

The principal office where Rtd Financial Advisors Inc performs its advisory services is located at 30 S. 17 Th Street, Philadelphia, PA 19103, which is also the mailing address of the firm. An additional office of the firm is in Atlanta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 215-557-3800 or by fax 215-557-3814. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at rtdfinancial.com.