Trueplan Benefit and Retirement Advisors
Registered investment adviser · Rensselaer, NY · CRD #36026
Form ADV data as of 2026-09-01Regulatory assets
$5.06 billion
Total accounts
96
Employees
11
Disclosure events
1
Firm details
- Website: http://www.trueplanadvisors.com
- Telephone: 518-431-7600
- SEC file number: 801-67370
- Most recent Form ADV filing: 2026-03-25
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $60.1 million |
| Non-discretionary regulatory assets under management | $5.00 billion |
| Total regulatory assets under management | $5.06 billion |
| Discretionary accounts | 6 |
| Non-discretionary accounts | 90 |
| Total accounts | 96 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 11 |
| Employees performing investment advisory functions (including research) | 6 |
| Employees who are registered representatives of a broker-dealer | 11 |
| Employees registered as investment adviser representatives with a state | 6 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 11 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pension and profit sharing plans (not the participants or government plans) | 48 | $5.05 billion |
| Corporations or other businesses not listed above | Not reported | $6.3 million |