Wealth manager, independent
Cardinal Retirement Planning, Inc.
SEC-registered investment adviser · CRD 166545 · SEC 801-132974
At a glance
Cardinal Retirement Planning, Inc. is an SEC-registered investment adviser based in United States, with $127 million in regulatory assets under management as of its Form ADV filed June 2, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 101 individual clients. By Form ADV it is a wealth manager, ranked 7,488th of 8,915 wealth managers and 14,454th of 17,210 SEC-registered advisers by assets.
cardinalretirementnc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $127M
- Rank among wealth managers
- #7,488 of 8,915
- Rank among all SEC RIAs
- #14,454 of 17,210
- Individual clients
- 101
- High-net-worth clients
- 25
- Accounts
- 251
- Discretionary
- 98% of AUM
- Employees
- 3
- Advisory staff
- 3
- Offices
- 3
Owners and executives on its Form ADV
- Douglas V. AmisPresident/chief Compliance Officer
- Anessa CustovicInvestment Advisor Representative/chief Investment Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 25 | $73M | 57% |
| Corporations or other businesses | 4 | $29M | 23% |
| Individuals | 76 | $25M | 20% |
| Charitable organizations | 1 | $0M | <1% |
| Pension and profit sharing plans | 1 | $0M | <1% |
Disciplinary disclosures
Cardinal Retirement Planning, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗cardinalretirementnc.com ↗
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The full record on Cardinal Retirement Planning, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 4,943 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Cardinal Retirement Planning, Inc. manage?
Cardinal Retirement Planning, Inc. reports $127 million in regulatory assets under management across 251 accounts, 98% of it on a discretionary basis, on its Form ADV filed June 2, 2026.
What kind of firm is Cardinal Retirement Planning, Inc.?
Cardinal Retirement Planning, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Cardinal Retirement Planning, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($73 million, 25 clients); corporations or other businesses ($29 million, 4 clients); individuals ($25 million, 76 clients).
Does Cardinal Retirement Planning, Inc. have any disciplinary history?
Cardinal Retirement Planning, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Cardinal Retirement Planning, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-02), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →