DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RUGGIE WEALTH MANAGEMENT

RUGGIE CAPITAL GROUP, LLC, CRD 145595

TAVARES, FL

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:89440dbe-378f-b2c3-67ee-2953037eb0c3

Data as of Jun 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 3
On other graphs: 1
Observed: Feb 21, 2012 to Jun 21, 2020
35 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Ruggie Wealth Management

Intermediary · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $15.3MItem 5.F on the latest filing (2020-06-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $14.5M
Private client RAUM: $12.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 11
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 25
Individual clients: 18
High net worth clients: 2
Custody, client assets: $886,538
SEC number: 801-69419
CRD: 145595
Filings on the tape: 35
First filed: Feb 21, 2012
Latest filed: Jun 21, 2020
Organised: Limited Liability Company, Florida

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
CARSON GROUP HOLDINGS, LLC	Owner	C	yes	07/2018	Aug 16, 2018	Jun 21, 2020
CLARK, ROBERT, LIDDELL	Member	Na	yes	06/2018	Jun 19, 2017	Jun 21, 2020
PANORMOS CAPITAL GROUP, LLC	Owner	E	yes	03/2018	Aug 16, 2018	Jun 21, 2020
ROBERT L. CLARK REVOCABLE TRUST, DATED SEPTEMBER 24, 2014, AS AMENDED	Owner	F	yes	06/2017	Mar 26, 2020	Jun 21, 2020
RUGGIE, THOMAS, HUEY	PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	06/2008	Feb 21, 2012	Jun 21, 2020
THOMAS H. RUGGIE REVOCABLE TRUST, DATED JANUARY 18, 2001, AS AMENDED	Owner	E	yes	06/2017	Mar 26, 2020	Jun 21, 2020
VAN ORE, ANTHONY, FRANKLIN	CHIEF OPERATING OFFICER	Na	yes	03/2019	Mar 31, 2019	Jun 21, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CWM, LLC	n/a	Bd affiliated wealth	$51B	N	yes	n/a
RWM ASSET MANAGEMENT, LLC	n/a	Independent wealth	$947M	Y	yes	n/a
ASSET ADVISORS OF AMERICA, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
THE VILLAGES	FL	United States	1	no
WINTER PARK	FL	United States	1	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
2019	Mar 26, 2020	$15.3M	$14.5M	15	11	2	n/a	n/a
2018	Mar 31, 2019	$220M	$220M	15	11	2	n/a	n/a
2017	Mar 30, 2018	$581M	$579M	14	10	2	n/a	n/a
2016	Mar 31, 2017	$421M	$415M	14	6	n/a	n/a	n/a
2015	Mar 22, 2016	$328M	$308M	11	6	n/a	n/a	n/a
2014	Mar 31, 2015	$333M	$27.0M	14	6	n/a	n/a	n/a
2013	Mar 26, 2014	$286M	$281M	9	3	n/a	n/a	n/a
2012	Mar 28, 2013	$253M	$247M	7	3	n/a	n/a	n/a
2011	Feb 21, 2012	$235M	$230M	n/a	n/a	n/a	n/a	n/a

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
2019	$15.3M	$220M	-93.1%	$421M	-66.9%	15	15	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
401K GENERATION	2	Jan 7, 2021	Dec 20, 2010	TAVARES, FL	Team lift out	Other	22.2%
DESTINY WEALTH PARTNERS, LLC	6	Jan 7, 2021	May 13, 2020	TAVARES, FL	Firm absorbed	RIA to RIA	66.7%

Relationships

Affiliated with (3)

→ ASSET ADVISORS OF AMERICA, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ CWM, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ DESTINY WEALTH PARTNERS, LLCRegistered adviserother investment adviser, LP sponsor, control, common control
factForm ADV

Controls (7)

← RUGGIE, THOMAS, HUEYOwnerPRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 21, 2012 to presentfactForm ADV
← VAN ORE, ANTHONY, FRANKLINOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 31, 2019 to presentfactForm ADV
← CLARK, ROBERT, LIDDELLOwnerMEMBER, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← CARSON GROUP HOLDINGS, LLCOwnerOWNER, ownership code C, domestic entity
Aug 16, 2018 to presentfactForm ADV
← PANORMOS CAPITAL GROUP, LLCOwnerOWNER, ownership code E, domestic entity
Aug 16, 2018 to presentfactForm ADV
← ROBERT L. CLARK REVOCABLE TRUST, DATED SEPTEMBER 24, 2014, AS AMENDEDOwnerOWNER, ownership code F, domestic entity
Mar 26, 2020 to presentfactForm ADV
← THOMAS H. RUGGIE REVOCABLE TRUST, DATED JANUARY 18, 2001, AS AMENDEDOwnerOWNER, ownership code E, domestic entity
Mar 26, 2020 to presentfactForm ADV

Registered with (14)

← CAROL ANN MULCAHYAdvisorregistration: previous registration
May 2, 2019 to Jan 7, 2021factForm ADV
← THOMAS HUEY RUGGIEAdvisorregistration: previous registration
Jul 31, 2008 to Jan 7, 2021factForm ADV
← LOUIS MITCHELL SHINAMANAdvisorregistration: previous registration
Jun 1, 2011 to Jan 7, 2021factForm ADV
← Anthony Van OreAdvisorregistration: previous registration
Apr 29, 2019 to Jan 7, 2021factForm ADV
← Robert ClarkAdvisorregistration: previous registration
Aug 9, 2017 to Jan 7, 2021factForm ADV
← AUDREY MARIE MANCUSOAdvisorregistration: previous registration
Sep 6, 2012 to Jan 7, 2021factForm ADV
← JORGE A ROMEROAdvisorregistration: previous registration
Apr 6, 2015 to Jan 7, 2021factForm ADV
← MORGAN AILEEN HATFIELDAdvisorregistration: previous registration
Dec 2, 2010 to Jan 7, 2021factForm ADV
← COLLEEN ARREDONDOAdvisorregistration: previous registration
Jun 2, 2017 to Jan 7, 2021factForm ADV
← DAVID JUSTIN MELNYKAdvisorregistration: previous registration
Jan 13, 2017 to Jan 6, 2020factForm ADV
← Cory Donald ChurchillAdvisorregistration: previous registration
Mar 15, 2018 to Nov 21, 2018factForm ADV
← Nancy JoeAnn TushAdvisorregistration: previous registration
Mar 7, 2013 to Mar 22, 2013factForm ADV
← KELLI DIANE ROJASAdvisorregistration: previous registration
Aug 19, 2010 to Dec 6, 2012factForm ADV
← Timothy Glenn MoyerAdvisorregistration: previous registration
Dec 17, 2010 to Aug 27, 2012factForm ADV

Moved with (2)

→ DESTINY WEALTH PARTNERS, LLCRegistered adviser6 advisors, firm absorbed, same day
Jan 7, 2021 to May 13, 2020factForm ADV
→ 401K GENERATIONRegistered adviser2 advisors, team lift out, same day
Jan 7, 2021 to Dec 20, 2010factForm ADV

Dated events

Occurred
Mar 26, 2020
Regulatory AUM changed
Ruggie Wealth Management reported RAUM $15.3M, down 93% from $219.7M (2019-11-08 to 2020-03-26)
Form ADVobserved 5 days ago
$-204M
Occurred
Mar 31, 2019
Regulatory AUM changed
Ruggie Wealth Management reported RAUM $219.7M, down 62% from $581.2M (2018-08-16 to 2019-03-31)
Form ADVobserved 5 days ago
$-361M
Occurred
Mar 31, 2019
Control person joined
Franklin Anthony Van Ore (Chief Operating Officer) appeared on Schedule A of Ruggie Wealth Management
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89440dbe-378f-b2c3-67ee-2953037eb0c3
First observed: Feb 21, 2012
Last observed: Jun 21, 2020 76 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.

RUGGIE WEALTH MANAGEMENT

RUGGIE CAPITAL GROUP, LLC, CRD 145595

TAVARES, FL

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:89440dbe-378f-b2c3-67ee-2953037eb0c3

Data as of Jun 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARSON GROUP HOLDINGS, LLC

Owner

yes

07/2018

Aug 16, 2018

Jun 21, 2020

CLARK, ROBERT, LIDDELL

Member

yes

06/2018

Jun 19, 2017

Jun 21, 2020

PANORMOS CAPITAL GROUP, LLC

Owner

yes

03/2018

Aug 16, 2018

Jun 21, 2020

ROBERT L. CLARK REVOCABLE TRUST, DATED SEPTEMBER 24, 2014, AS AMENDED

Owner

yes

06/2017

Mar 26, 2020

Jun 21, 2020

RUGGIE, THOMAS, HUEY

PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER

yes

06/2008

Feb 21, 2012

Jun 21, 2020

THOMAS H. RUGGIE REVOCABLE TRUST, DATED JANUARY 18, 2001, AS AMENDED

Owner

yes

06/2017

Mar 26, 2020

Jun 21, 2020

VAN ORE, ANTHONY, FRANKLIN

CHIEF OPERATING OFFICER

yes

03/2019

Mar 31, 2019

Jun 21, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CWM, LLC

n/a

Bd affiliated wealth

$51B

yes

n/a

RWM ASSET MANAGEMENT, LLC

n/a

Independent wealth

$947M

yes

n/a

ASSET ADVISORS OF AMERICA, LLC

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

THE VILLAGES

United States

WINTER PARK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 26, 2020

$15.3M

$14.5M

n/a

2018

Mar 31, 2019

$220M

n/a

2017

Mar 30, 2018

$581M

$579M

n/a

2016

Mar 31, 2017

$421M

$415M

n/a

2015

Mar 22, 2016

$328M

$308M

n/a

2014

Mar 31, 2015

$333M

$27.0M

n/a

2013

Mar 26, 2014

$286M

$281M

n/a

2012

Mar 28, 2013

$253M

$247M

n/a

2011

Feb 21, 2012

$235M

$230M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$15.3M

$220M

-93.1%

$421M

-66.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

401K GENERATION

Jan 7, 2021

Dec 20, 2010

TAVARES, FL

Team lift out

Other

22.2%

DESTINY WEALTH PARTNERS, LLC

Jan 7, 2021

May 13, 2020

TAVARES, FL

Firm absorbed

RIA to RIA

66.7%