DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

R••••••• • A•••••••••

Independent wealth managerHudson, OhioCRD 107489SEC 801-43618website IAPD

Legal name R••••••• • A••••••••• L••

Latest filing Mar 30, 2026

First filing on the tape Mar 30, 2012 · 30 filings

SEC status approved since Mar 31, 1993

RAUM

$369M

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

96%

$355M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$61.4M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM$369M as of Mar 30, 2026

Mar 30, 2012$125M then

HNW client RAUM$68.8M as of Mar 30, 2026

Mar 30, 2018$141M then

State-registered IARs (5.B.3)6 as of Mar 30, 2026

Mar 30, 20120 then

Employees (5.A)10 as of Mar 30, 2026

Mar 28, 20133 then

Private funds: no history

RAUM +6.2% over the last fiscal year+21% a year over threeIARs 6 to 6offices 2 to 3

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $61.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 52derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $655,530derivedHNW RAUM over HNW clients
Average account: $369,300derivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +6.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.0%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody: $120M, 115 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$286M78%
High-net-worth individuals$68.8M19%
Corporations and businesses$9.7M2.6%
Charitable organizations$2.0M0.6%

Individual clients: 209reported
HNW clients: 105reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 998reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $120M for 115 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

6 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
R•••••• P••• R•••••••Chartered Financial Consultant	Hudson, Oh	Jan 14, 2002	38 y	0
J••• D••• M••Certified Financial Planner	Hudson, Oh	Aug 16, 2018	18 y	1
R••• P••••• R•••••••	Hudson, Oh	Aug 19, 2022	11 y	0
J•••• S•• S••••••Certified Financial Planner	Oak Brook, Il	Jan 3, 2023	35 y	2
D•••• A••• S••••••Chartered Financial Analyst	Chicago, Il	Jan 3, 2023	13 y	2
T•• H••••• S••••••	Hudson, Oh	Jan 3, 2023	35 y	2

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

A•••• W••••••• S••• to S••• W••••• M••••••••• L••
Oct 5, 2020 · Other

Joined, latest

J•••• S•• S•••••• from T•••• C•••••• W••••• M••••••••• I••
Jan 3, 2023 · RIA to RIA
D•••• A••• S•••••• from T•••• C•••••• W••••• M••••••••• I••
Jan 3, 2023 · RIA to RIA
T•• H••••• S•••••• from T•••• C•••••• W••••• M••••••••• I••
Jan 3, 2023 · RIA to RIA
J••• D••• M•• from R••• F•••••••• S•••••••• I•••
Aug 16, 2018 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from T•••• C•••••• W••••• M••••••••• I••
Dec 31, 2022 · Oak Brook, Il

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•• I••• J•••• D••• · Member, Vice President, Co-Portfolio Managercontrol
since 07/2022 · owns 10% to 25%
R•••••••• R••••••• P••• · President, Portfolio Managercontrol
since 08/2004 · owns less than 5%
R•••••••• R•••• P••••• · Member, Cco, Vice President, Director Of Researchcontrol
since 07/2022 · owns 10% to 25%
S••••••• D••••• A••• · Vice President, Co-Portfolio Managercontrol
since 01/2023 · owns 10% to 25%
R•••••••• R••••••• P••• · Shareholdercontrol
since 01/2022 · owns 75% or more of R• G•••• H••••••• L••
S••••••• D••••• A••• · Vice President, Co-Portfolio Managercontrol
since 01/2023 · owns 75% or more of S•••• B••• L••

Entity owners

R• G•••• H••••••• L•• · Member
direct · owns 25% to 50%
S•••• B••• L•• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Hudson, Oh · principal	6	0	0
Chicago, Il	2	0	0
Oak Brook, Il	2	0	0

Offices

Schedule D 1.F, the 25 largest

Oak Brook, IL3 employees
Chicago, IL2 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 30, 2026
HNW share of RAUM moved from 77.0% to 19.0% between the annual amendments of 2025-03-25 and 2026-03-30
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 945 to 998
Jul 3, 2025 to Mar 30, 2026
HNW clients · 95 to 105
Jul 3, 2025 to Mar 30, 2026
Individual clients · 207 to 209
Jul 3, 2025 to Mar 30, 2026
Assets in custody · $185M to $120M
Jul 3, 2025 to Mar 30, 2026
Employees · 11 to 10
Jul 3, 2025 to Mar 30, 2026
Financial planning clients · 51-100 to 26-50
Jul 3, 2025 to Mar 30, 2026
Discretionary RAUM · $332M to $350M
Jul 3, 2025 to Mar 30, 2026
HNW RAUM · $267M to $68.8M
Jul 3, 2025 to Mar 30, 2026
Individual RAUM · $66.0M to $286M
Jul 3, 2025 to Mar 30, 2026
Non-discretionary RAUM · $14.6M to $18.8M
Jul 3, 2025 to Mar 30, 2026
RAUM · $347M to $369M
Jul 3, 2025 to Mar 30, 2026
Financial planning clients · 51-100 to 51-100
Mar 25, 2025 to Jul 3, 2025
Other offices · 2 to 3
Mar 25, 2025 to Jul 3, 2025
Accounts · 865 to 945
May 30, 2024 to Mar 25, 2025
HNW clients · 80 to 95
May 30, 2024 to Mar 25, 2025
Individual clients · 204 to 207
May 30, 2024 to Mar 25, 2025
Assets in custody · $153M to $185M
May 30, 2024 to Mar 25, 2025
Employees · 10 to 11
May 30, 2024 to Mar 25, 2025
Discretionary RAUM · $312M to $332M
May 30, 2024 to Mar 25, 2025
HNW RAUM · $227M to $267M
May 30, 2024 to Mar 25, 2025
Individual RAUM · $72.9M to $66.0M
May 30, 2024 to Mar 25, 2025
Non-discretionary RAUM · $0 to $14.6M
May 30, 2024 to Mar 25, 2025
RAUM · $312M to $347M
May 30, 2024 to Mar 25, 2025
HQ city · TWINSBURG to HUDSON
Mar 13, 2024 to Apr 22, 2024
Accounts · 516 to 865
Nov 28, 2023 to Mar 13, 2024
HNW clients · 123 to 80
Nov 28, 2023 to Mar 13, 2024
Individual clients · 58 to 204
Nov 28, 2023 to Mar 13, 2024
Assets in custody · $80.1M to $153M
Nov 28, 2023 to Mar 13, 2024
Discretionary RAUM · $211M to $312M
Nov 28, 2023 to Mar 13, 2024
HNW RAUM · $42.4M to $227M
Nov 28, 2023 to Mar 13, 2024
Individual RAUM · $160M to $72.9M
Nov 28, 2023 to Mar 13, 2024
RAUM · $211M to $312M
Nov 28, 2023 to Mar 13, 2024
Accounts · 510 to 516
Jan 13, 2023 to Mar 14, 2023
Corporate clients · 0.0 to unset
Jan 13, 2023 to Mar 14, 2023
HNW clients · 56 to 123
Jan 13, 2023 to Mar 14, 2023
Individual clients · 104 to 58
Jan 13, 2023 to Mar 14, 2023
Assets in custody · $70.0M to $80.1M
Jan 13, 2023 to Mar 14, 2023
Financial planning clients · 26-50 to 51-100
Jan 13, 2023 to Mar 14, 2023
Discretionary RAUM · $239M to $211M
Jan 13, 2023 to Mar 14, 2023
HNW RAUM · $200M to $42.4M
Jan 13, 2023 to Mar 14, 2023

Signals

5 dated events

R••••••• • A••••••••• reported RAUM $312.2M, up 48% from $210.5M (2023-11-28 to 2024-03-13)
Mar 13, 2024 · RAUM change · derived
Philip Ryan R••••••• (Member, Vice President, Director Of Research) appeared on Schedule A of R••••••• • A•••••••••
Jan 3, 2023 · Control person joined · fact
Adam David Sleeter (Member, Vice President, Co-Portfolio Manager) appeared on Schedule A of R••••••• • A•••••••••
Jan 3, 2023 · Control person joined · fact
3 advisors left T•••• C•••••• W••••• M••••••••• I•• (Oak Brook, IL) for R••••••• • A••••••••• on the same day
Dec 31, 2022 · Team lift-out · derived
R••••••• • A••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 23, 2022 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: info@ruggaard.netreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 330-487-5886reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 630-368-6160reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 330-487-5888reportedpublished by the firm, firm site, Sep 15, 2026
Website: ruggaard.netreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: (330) 487-5888reportedpublic record, Form ADV, Mar 30, 2026
Contact form: ruggaard.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ruggaard.net/our-team/leadership-teamreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $61.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026