Pointoak Retirement Advisors, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $11.9M
- Clients
- 103
- Avg AUM / client
- $10.5M
- Accounts
- 117
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 19 | $9.2M | 0.86% |
| High net worth individuals | 1 | $2.7M | 0.25% |
| Pension and profit sharing plans | 83 | $1.1B | 98.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Federal Management Systems Inc. 401(k) Plan Federal Management Systems Inc. | 2024 | |
| M3 Usa Corp 401(k) Profit Sharing Plan And Trust M3 Usa Corporation | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Darshan Prakash Makim | Chief Compliance Officer And President | May 2021 (5y) | 75% or more | |
| Mark Kevin Smith | Registered representative | Dec 2024 (2y) | ||
| Taylor Owen Wall | Registered representative | Feb 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Federal Management Systems Inc. 401(k) Plan | Federal Management Systems Inc. | 60 | $6.1M | 01/01/2024 |
| M3 Usa Corp 401(k) Profit Sharing Plan And Trust | M3 Usa Corporation | 642 | $58.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 953 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Adp Broker Dealer, Inc. $128M (12% of AUM) Mar 2026
- Transamerica Capital, Inc. $50.9M (5% of AUM) Mar 2026
- Principal Securities, Inc. $41.9M (4% of AUM) Mar 2026
- Charles Schwab & Co. $8.2M (1% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 04, 2026.
View current Form ADV (SEC/IAPD) ↗