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John Upton

Retirement Consulting Group, INC.
41 Years of Experience
Lake Oswego, OR
1 Disclosure
View SEC Summary
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John Upton is a registered investment advisor at Retirement Consulting Group, INC., based in Lake Oswego, OR, with 41 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 86 clients with $460M in assets under management.

Retirement Consulting Group, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
86 clients
Average Client Portfolio
$5.3M average
Assets Under Management
$457.0M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K0.95%
$500K - $1.0M0.90%
$1.0M - $2.0M0.85%
$2.0M - $5.0M0.80%
$5.0M - $10.0M0.50%
$10.0M - $20.0M0.35%
$20M+0.20%

Fees are negotiable and individual clients may pay rates that are higher or lower.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5 Centerpoint Drive, Suite 400, Lake Oswego, OR, 97035

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 1989
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is the Board Chair of the Peter R. Marsh Foundation, a non-profit that awards scholarships and grants, dedicating minimal time. He is also the President of Seaside Cottages LLC, an LLC to hold investment real estate, spending minimal time overseeing the real estate management.

Employment History
Current Registrations
Retirement Consulting Group, INC.
April 2021 - Present · 5 yrs 6 mos
Previous Registrations
Arbor Point Advisors
November 2020 - February 2021 · 3 mos
Securities America Advisors, INC.
November 2020 - February 2021 · 3 mos
Securities America, INC.Broker
November 2020 - February 2021 · 3 mos
Kms Financial Services, INC
March 2003 - November 2020 · 17 yrs 8 mos
Kms Financial Services, INC.Broker
April 1997 - November 2020 · 23 yrs 7 mos
Dain Bosworth IncorporatedBroker
February 1992 - April 1997 · 5 yrs 2 mos
Kemper Securities Group, INC.Broker
September 1990 - March 1992 · 1 yr 6 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
July 1988 - September 1990 · 2 yrs 2 mos
Security Pacific Securities of Oregon, INC.Broker
May 1985 - July 1988 · 3 yrs 2 mos
State Registrations2 states
ORTX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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