Broker-dealer firm · Rensselaer, NY
Trueplan Benefit and Retirement Advisors
Healthcare Community Securities Corporation · SEC-registered investment adviser · CRD 36026 · SEC 801-67370
At a glance
Trueplan Benefit and Retirement Advisors is an SEC-registered investment adviser based in Rensselaer, New York, with $5.1 billion in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is pension and profit sharing plans. By Form ADV it is a broker-dealer firm, ranked 89th of 391 broker-dealer firms and 2,083rd of 17,210 SEC-registered advisers by assets.
Main office 518-431-7600trueplanadvisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.1B
- Rank among broker-dealer firms
- #89 of 391
- Rank among all SEC RIAs
- #2,083 of 17,210
- Rank in New York
- #531 of 2,591
- Clients
- 48
- Accounts
- 96
- Discretionary
- 1% of AUM
- Employees
- 11
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- Mary Katherine HayesCFO
- Jennifer LaroseChief Compliance Officer
- Noah Patrick BuckPresident
- Andrew Raymond ManzerBoard of Director
- Cynthia McCollumBoard of Director
- Hugh Richard ThomasBoard of Director
- Joshua S RatnerBoard of Director
- Jonathan David SchillerBoard of Director
- Mark Eli GellerBoard of Director
- James SmithBoard of Director
- Michele L. CusackBoard of Director
- Staci Lynn ThompsonBoard of Director
Custody and brokerage
Custodian
Trueplan Benefit and Retirement Advisors’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Trueplan Benefit and Retirement Advisors is a hybrid RIA: 11 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 48 | $5.1B | 100% |
| Corporations or other businesses | – | $6M | <1% |
Disciplinary disclosures
Trueplan Benefit and Retirement Advisors answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗trueplanadvisors.com ↗
AtlasMembers
The full record on Trueplan Benefit and Retirement Advisors
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, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 88 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Trueplan Benefit and Retirement Advisors manage?
Trueplan Benefit and Retirement Advisors reports $5.1 billion in regulatory assets under management across 96 accounts, 1% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is Trueplan Benefit and Retirement Advisors?
Trueplan Benefit and Retirement Advisors is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Trueplan Benefit and Retirement Advisors’s clients?
By assets, its largest client types are pension and profit sharing plans ($5.1 billion, 48 clients); corporations or other businesses ($6 million).
Does Trueplan Benefit and Retirement Advisors have any disciplinary history?
Trueplan Benefit and Retirement Advisors answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Trueplan Benefit and Retirement Advisors’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 (2026-03-25), 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 →