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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

ROBERTS & RYAN INVESTMENTS INC.

CRD 19456

NEW YORK, NY

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:ebf6844c-1a2c-75ca-83ac-79c62b7b919b

Data as of Aug 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 2
Observed: Aug 10, 2018 to Aug 10, 2018
1 observations

Across DFX

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

Private Equityidentity

Roberts & Ryan Investments Inc.

Intermediary · shared crd

Independent Sponsorsidentity

Roberts & Ryan Investments Inc.

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 12
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-113965
CRD: 19456
Filings on the tape: 1
First filed: Aug 10, 2018
Latest filed: Aug 10, 2018
Organised: Corporation, California

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
NIEMIE, JAMES MONROE	Ceo	B	yes	06/2018	Aug 10, 2018	Aug 10, 2018
ODONNELL, GERALD JOHN	SENIOR MANAGING DIRECTOR	B	yes	06/2018	Aug 10, 2018	Aug 10, 2018
R&R PRINCIPALS HOLDING COMPANY, LLC	Entity	C	yes	04/2018	Aug 10, 2018	Aug 10, 2018
RATHJEN, BRIAN ALBERT	President	C	yes	04/2018	Aug 10, 2018	Aug 10, 2018
DOBBINS, JOHN FITZPATRICK	Na	B	no	04/2018	Aug 10, 2018	Aug 10, 2018
LEDVA, DANIEL JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	04/2018	Aug 10, 2018	Aug 10, 2018
R&R PARTNERS HOLDING COMPANY, LLC	Entity	B	no	04/2018	Aug 10, 2018	Aug 10, 2018
ROBERTS, DANIEL WALTER	REGISTERED REPRESENTATIVE	Na	no	04/2018	Aug 10, 2018	Aug 10, 2018

Relationships

Affiliated with (1)

← KELSON ASSET MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (4)

← RATHJEN, BRIAN ALBERTOwnerPRESIDENT, ownership code C, individual
Aug 10, 2018 to presentfactForm ADV
← ODONNELL, GERALD JOHNOwnerSENIOR MANAGING DIRECTOR, ownership code B, individual
Aug 10, 2018 to presentfactForm ADV
← NIEMIE, JAMES MONROEOwnerCEO, ownership code B, individual
Aug 10, 2018 to presentfactForm ADV
← R&R PRINCIPALS HOLDING COMPANY, LLCOwnerENTITY, ownership code C, domestic entity
Aug 10, 2018 to presentfactForm ADV

Owns (4)

← ROBERTS, DANIEL WALTEROwnerREGISTERED REPRESENTATIVE, ownership code NA, individual
Aug 10, 2018 to presentfactForm ADV
← LEDVA, DANIEL JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 10, 2018 to presentfactForm ADV
← DOBBINS, JOHN FITZPATRICKOwnerNA, ownership code B, individual
Aug 10, 2018 to presentfactForm ADV
← R&R PARTNERS HOLDING COMPANY, LLCOwnerENTITY, ownership code B, domestic entity
Aug 10, 2018 to presentfactForm ADV

Dated events

Occurred
Aug 10, 2018
First Form ADV filing
Roberts & Ryan Investments Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebf6844c-1a2c-75ca-83ac-79c62b7b919b
First observed: Aug 10, 2018
Last observed: Aug 10, 2018 98 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.

ROBERTS & RYAN INVESTMENTS INC.

CRD 19456

NEW YORK, NY

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:ebf6844c-1a2c-75ca-83ac-79c62b7b919b

Data as of Aug 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NIEMIE, JAMES MONROE

Ceo

yes

06/2018

Aug 10, 2018

ODONNELL, GERALD JOHN

SENIOR MANAGING DIRECTOR

yes

06/2018

Aug 10, 2018

R&R PRINCIPALS HOLDING COMPANY, LLC

Entity

yes

04/2018

Aug 10, 2018

RATHJEN, BRIAN ALBERT

President

yes

04/2018

Aug 10, 2018

DOBBINS, JOHN FITZPATRICK

04/2018

Aug 10, 2018

LEDVA, DANIEL JOSEPH

CHIEF COMPLIANCE OFFICER

04/2018

Aug 10, 2018

R&R PARTNERS HOLDING COMPANY, LLC

Entity

04/2018

Aug 10, 2018

ROBERTS, DANIEL WALTER

REGISTERED REPRESENTATIVE

04/2018

Aug 10, 2018