RETIREMENT CAPITAL STRATEGIES

https://www.linkedin.com/company/retirement-capital-strategies SAN JOSE, CA Investment Advisor How do I update this listing?

Retirement Capital Strategies is based out of San Jose. Retirement Capital Strategies is a large advisory firm with 294 clients and discretionary assets under management (AUM) of $177,579,270 (Form ADV from 2019-05-21). Their last reported 13F filing for Q3 2019 included $198,955,000 in managed 13F securities and a top 10 holdings concentration of 78.19%. Retirement Capital Strategies's largest holding is Vanguard S&P 500 ETF with shares held of 139,799. Retirement Capital Strategies has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 24 13F filings

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68

S&P 500
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Manager Weighted
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $198.955 Million
  • Prior Market Value $200.516 Million
  • New Purchases7 stocks
  • Additional Purchases7 stocks
  • Sold out of6 stocks
  • Reduced holdings in24 stocks
  • Top 10 Holdings % 78.19 %
  • Turnover % [1]:24.53%
  • Turnover Alt % [2]: 9.36 %
  • Time Held Top20:6.45 quarters
  • Time Held Top10:6.60 quarters
  • Time Held All:5.81 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 0.4%
Performance Last 4 Quarters: 0.05%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

RETIREMENT CAPITAL STRATEGIES, INC.
1190 SARATOGA AVE., SUITE 140
SAN JOSE CA    95129
Country: United States

Business Phone: 408-551-6100
Fax: 408-551-6161
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CA
Number of employees: 7
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 294
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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RETIREMENT CAPITAL STRATEGIES, INC.

ownership team - last updated 2019-05-21
Name Title Start Date Direct/Indirect % Ownership
PHILIPP, MICHAEL, ROBERT SECRETARY, TREASURER & VICE PRESIDENT 12/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER/SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2004-10-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2013-10-01
VAUGHAN, THOMAS, EARL CEO/PRESIDENT 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2006-12-01
RETIREMENT CAPITAL STRATEGIES, INC. DIRECTOR direct 2016-03-01
VASQUEZ, THERESA, LUCIA CHIEF COMPLIANCE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2018-05-01

RETIREMENT CAPITAL STRATEGIES, INC.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
PHILIPP, MICHAEL, ROBERT SECRETARY, TREASURER & VICE PRESIDENT 12/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER/SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2004-10-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2013-10-01
VAUGHAN, THOMAS, EARL CEO/PRESIDENT 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2006-12-01
RETIREMENT CAPITAL STRATEGIES, INC. DIRECTOR direct 2016-03-01
VASQUEZ, THERESA, LUCIA CHIEF COMPLIANCE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2018-05-01

RETIREMENT CAPITAL STRATEGIES, INC.

ownership team - last updated 2018-11-21
Name Title Start Date Direct/Indirect % Ownership
PHILIPP, MICHAEL, ROBERT SECRETARY & TREASURER 12/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER/SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2004-10-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2013-10-01
VAUGHAN, THOMAS, EARL CEO/PRESIDENT 10/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2006-12-01
RETIREMENT CAPITAL STRATEGIES, INC. DIRECTOR direct 2016-03-01
VASQUEZ, THERESA, LUCIA CHIEF COMPLIANCE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2018-05-01

RETIREMENT CAPITAL STRATEGIES, INC.

ownership team - last updated 2017-10-26
Name Title Start Date Direct/Indirect % Ownership
PHILIPP, MICHAEL, ROBERT SECRETARY & TREASURER 12/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER/SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2004-10-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2013-10-01
PHILIPP, MICHAEL, ROBERT CHIEF COMPLIANCE OFFICER 03/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER, SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER/SECRETARY & TREASURER direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2004-10-01
RETIREMENT CAPITAL STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2013-10-01
VAUGHAN, THOMAS, EARL CEO/PRESIDENT 10/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
RETIREMENT CAPITAL STRATEGIES, INC. CEO & PRESIDENT direct 2002-12-01
RETIREMENT CAPITAL STRATEGIES, INC. TRUSTEE indirect 2006-12-01
RETIREMENT CAPITAL STRATEGIES, INC. DIRECTOR direct 2016-03-01

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