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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES, LLC, CRD 107489

HUDSON, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:812e1d5b-45a1-502e-e637-0925cc9200f0

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $369MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $355MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $61.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 6
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 998
Individual clients: 209
High net worth clients: 105
Custody, client assets: $120M
SEC number: 801-43618
CRD: 107489
Filings on the tape: 30
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, OH

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
Randall Paul Ruggaard	Chartered Financial Consultant	HUDSON, OH \| Rio Verde, AZ	24	38	n/a	no
JOHN DEAN MAY	Certified Financial Planner	HUDSON, OH	8	18	1	no
RYAN PHILIP RUGGAARD	n/a	HUDSON, OH \| Chicago, IL	4	11	n/a	no
JANIS SUE SLEETER	Certified Financial Planner	OAK BROOK, IL \| HUDSON, OH	3	35	2	no
TOM HOWARD SLEETER	n/a	HUDSON, OH \| OAK BROOK, IL	3	35	2	no
DAVID ADAM SLEETER	Chartered Financial Analyst	Chicago, IL \| HUDSON, OH	3	13	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MAY III, JOHN, DEAN	MEMBER, VICE PRESIDENT, CO-PORTFOLIO MANAGER	B	yes	07/2022	Mar 29, 2021	May 30, 2024
RM GROUP HOLDINGS LLC	Member	C	yes	01/2022	Mar 13, 2024	May 30, 2024
RUGGAARD, RANDALL, PAUL	PRESIDENT, PORTFOLIO MANAGER	Na	yes	08/2004	Mar 30, 2012	May 30, 2024
RUGGAARD, RANDALL, PAUL	Shareholder	E	yes	01/2022	Mar 30, 2012	May 30, 2024
RUGGAARD, RYAN, PHILIP	MEMBER, CCO, VICE PRESIDENT, DIRECTOR OF RESEARCH	B	yes	07/2022	Jan 3, 2023	May 30, 2024
SANDY BAY, LLC	Member	B	yes	01/2023	Mar 13, 2024	May 30, 2024
SLEETER, DAVID, ADAM	VICE PRESIDENT, CO-PORTFOLIO MANAGER	B	yes	01/2023	Jan 3, 2023	May 30, 2024
SLEETER, DAVID, ADAM	VICE PRESIDENT, CO-PORTFOLIO MANAGER	E	yes	01/2023	Jan 3, 2023	May 30, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
OAK BROOK	IL	United States	3	no
Chicago	IL	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$369M	$350M	10	6	3	n/a	n/a
2024	Mar 25, 2025	$347M	$332M	11	6	2	n/a	n/a
2023	Mar 13, 2024	$312M	$312M	10	6	2	n/a	n/a
2022	Mar 14, 2023	$211M	$211M	10	6	2	n/a	n/a
2021	Mar 23, 2022	$239M	$239M	6	2	0	n/a	n/a
2020	Mar 29, 2021	$209M	$209M	5	2	0	n/a	n/a
2019	Mar 24, 2020	$196M	$196M	6	3	0	n/a	n/a
2018	Mar 29, 2019	$159M	$152M	6	3	0	n/a	n/a
2017	Mar 30, 2018	$182M	$162M	6	3	0	n/a	n/a
2016	Mar 25, 2017	$166M	$151M	4	2	n/a	n/a	n/a
2015	Mar 30, 2016	$164M	$149M	4	2	n/a	n/a	n/a
2014	Mar 27, 2015	$176M	$159M	4	2	n/a	n/a	n/a
2013	Mar 27, 2014	$162M	$155M	3	2	n/a	n/a	n/a
2012	Mar 28, 2013	$142M	$135M	3	2	n/a	n/a	n/a
2011	Mar 30, 2012	$125M	$118M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$369M	$347M	6.2%	$211M	20.5%	10	11	3	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TOTAL CLARITY WEALTH MANAGEMENT, INC	3	Dec 31, 2022	Jan 3, 2023	OAK BROOK, IL	Team lift out	RIA to RIA	17.6%

Relationships

Registered with (7)

← JANIS SUE SLEETERAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← TOM HOWARD SLEETERAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← DAVID ADAM SLEETERAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← RYAN PHILIP RUGGAARDAdvisorregistration: current employment
Aug 19, 2022 to presentfactForm ADV
← JOHN DEAN MAYAdvisorregistration: current employment
Aug 16, 2018 to presentfactForm ADV
← Randall Paul RuggaardAdvisorregistration: current employment
Jan 14, 2002 to presentfactForm ADV
← Aaron Winfield SeilAdvisorregistration: previous registration
Aug 31, 2018 to Oct 5, 2020factForm ADV

Controls (6)

← RUGGAARD, RANDALL, PAULOwnerSHAREHOLDER, ownership code E, individual
Mar 30, 2012 to May 30, 2024factForm ADV
← MAY III, JOHN, DEANOwnerMEMBER, VICE PRESIDENT, CO-PORTFOLIO MANAGER, ownership code B, individual
Mar 29, 2021 to May 30, 2024factForm ADV
← SLEETER, DAVID, ADAMOwnerVICE PRESIDENT, CO-PORTFOLIO MANAGER, ownership code E, individual
Jan 3, 2023 to May 30, 2024factForm ADV
← RUGGAARD, RYAN, PHILIPOwnerMEMBER, CCO, VICE PRESIDENT, DIRECTOR OF RESEARCH, ownership code B, individual
Jan 3, 2023 to May 30, 2024factForm ADV
← RM GROUP HOLDINGS LLCOwnerMEMBER, ownership code C, domestic entity
Mar 13, 2024 to May 30, 2024factForm ADV
← SANDY BAY, LLCOwnerMEMBER, ownership code B, domestic entity
Mar 13, 2024 to May 30, 2024factForm ADV

Moved with (1)

← TOTAL CLARITY WEALTH MANAGEMENT, INCRegistered adviser3 advisors, team lift out, same day
Dec 31, 2022 to Jan 3, 2023factForm ADV

Dated events

Occurred
Mar 13, 2024
Regulatory AUM changed
Ruggaard & Associates reported RAUM $312.2M, up 48% from $210.5M (2023-11-28 to 2024-03-13)
Form ADVobserved 5 days ago
$102M
Occurred
Jan 3, 2023
Control person joined
Philip Ryan Ruggaard (Member, Vice President, Director Of Research) appeared on Schedule A of Ruggaard & Associates
Form ADVobserved 5 days ago
Occurred
Jan 3, 2023
Control person joined
Adam David Sleeter (Member, Vice President, Co-Portfolio Manager) appeared on Schedule A of Ruggaard & Associates
Form ADVobserved 5 days ago
Occurred
Dec 31, 2022
Team lift-out
3 advisors left Total Clarity Wealth Management, Inc (Oak Brook, IL) for Ruggaard & Associates on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 23, 2022
Succession filed (Item 4)
Ruggaard & Associates, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:812e1d5b-45a1-502e-e637-0925cc9200f0
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES, LLC, CRD 107489

HUDSON, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:812e1d5b-45a1-502e-e637-0925cc9200f0

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Randall Paul Ruggaard

Chartered Financial Consultant

HUDSON, OH | Rio Verde, AZ

n/a

JOHN DEAN MAY

Certified Financial Planner

HUDSON, OH

RYAN PHILIP RUGGAARD

n/a

HUDSON, OH | Chicago, IL

n/a

JANIS SUE SLEETER

Certified Financial Planner

OAK BROOK, IL | HUDSON, OH

TOM HOWARD SLEETER

n/a

HUDSON, OH | OAK BROOK, IL

DAVID ADAM SLEETER

Chartered Financial Analyst

Chicago, IL | HUDSON, OH

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MAY III, JOHN, DEAN

MEMBER, VICE PRESIDENT, CO-PORTFOLIO MANAGER

yes

07/2022

Mar 29, 2021

May 30, 2024

RM GROUP HOLDINGS LLC

Member

yes

01/2022

Mar 13, 2024

May 30, 2024

RUGGAARD, RANDALL, PAUL

PRESIDENT, PORTFOLIO MANAGER

yes

08/2004

Mar 30, 2012

May 30, 2024

RUGGAARD, RANDALL, PAUL

Shareholder

yes

01/2022

Mar 30, 2012

May 30, 2024

RUGGAARD, RYAN, PHILIP

MEMBER, CCO, VICE PRESIDENT, DIRECTOR OF RESEARCH

yes

07/2022

Jan 3, 2023

May 30, 2024

SANDY BAY, LLC

Member

yes

01/2023

Mar 13, 2024

May 30, 2024

SLEETER, DAVID, ADAM

VICE PRESIDENT, CO-PORTFOLIO MANAGER

yes

01/2023

Jan 3, 2023

May 30, 2024

SLEETER, DAVID, ADAM

VICE PRESIDENT, CO-PORTFOLIO MANAGER

yes

01/2023

Jan 3, 2023

May 30, 2024

City

State

Country

Employees

Also broker-dealer

OAK BROOK

United States

Chicago

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$369M

$350M

n/a

2024

Mar 25, 2025

$347M

$332M

n/a

2023

Mar 13, 2024

$312M

n/a

2022

Mar 14, 2023

$211M

n/a

2021

Mar 23, 2022

$239M

n/a

2020

Mar 29, 2021

$209M

n/a

2019

Mar 24, 2020

$196M

n/a

2018

Mar 29, 2019

$159M

$152M

n/a

2017

Mar 30, 2018

$182M

$162M

n/a

2016

Mar 25, 2017

$166M

$151M

n/a

2015

Mar 30, 2016

$164M

$149M

n/a

2014

Mar 27, 2015

$176M

$159M

n/a

2013

Mar 27, 2014

$162M

$155M

n/a

2012

Mar 28, 2013

$142M

$135M

n/a

2011

Mar 30, 2012

$125M

$118M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$369M

$347M

6.2%

$211M

20.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TOTAL CLARITY WEALTH MANAGEMENT, INC

Dec 31, 2022

Jan 3, 2023

OAK BROOK, IL

Team lift out

RIA to RIA

17.6%