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.

Former SEC-registered adviser

Ruggie Wealth Management

Former SEC-registered adviserTavares, FloridaCRD 145595SEC 801-69419IAPD
Legal name Ruggie Capital Group, LLC
Latest filing Jun 21, 2020
First filing on the tape Feb 21, 2012 · 35 filings
RAUM
$15.3M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
82%
$12.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$15.3M as of Mar 26, 2020
Feb 21, 2012$235M then
HNW client RAUM$11.5M as of Mar 26, 2020
Mar 30, 2018$142M then
State-registered IARs (5.B.3)9 as of Mar 26, 2020
Mar 28, 20135 then
Employees (5.A)15 as of Mar 26, 2020
Mar 28, 20137 then
Private funds: no history
RAUM -93% over the last fiscal year-67% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Jun 21, 2020; every figure names its basis
RAUM per advisor
$1.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.7MderivedHNW RAUM over HNW clients
Average account
$610,188derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-93%derivedbetween the last two annual amendments
Advisor growth, one year
+29%derivedItem 5.B.3 between annual amendments
Client growth, one year
-95%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Wrap fee program
$14.5MreportedItem 5.I
Custody
$886,538, 2 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$11.5M75%
  • Corporations and businesses$2.0M13%
  • Individuals$1.0M6.7%
  • Pooled investment vehicles$757,8295.0%
Individual clients
18reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$886,538 for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Liddell Robert Clark · Membercontrol
      since 06/2018 · owns less than 5%
    • Huey Thomas Ruggie · President/Chief Executive Officer/Chief Compliance Officercontrol
      since 06/2008 · owns less than 5%
    • Franklin Anthony Van Ore · Chief Operating Officercontrol
      since 03/2019 · owns less than 5%
    Entity owners
    • Carson Group Holdings, LLC · Owner
      direct · owns 25% to 50%
    • Panormos Capital Group, LLC · Owner
      direct · owns 75% or more
    • Robert L. Clark Revocable Trust, Dated September 24, 2014, As Amended · Owner
      indirect · owns F of Panormos Capital Group, LLC
    • Thomas H. Ruggie Revocable Trust, Dated January 18, 2001, As Amended · Owner
      indirect · owns 75% or more of Panormos Capital Group, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • The Villages, FL1 employees
    • Winter Park, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 432 to 25
      Nov 8, 2019 to Mar 26, 2020
    • Advisory activities · 5 to 6
      Nov 8, 2019 to Mar 26, 2020
    • HNW clients · 16 to 2
      Nov 8, 2019 to Mar 26, 2020
    • Individual clients · 363 to 18
      Nov 8, 2019 to Mar 26, 2020
    • Assets in custody · $94.5M to $886,538
      Nov 8, 2019 to Mar 26, 2020
    • Insurance-licensed employees · 8 to 9
      Nov 8, 2019 to Mar 26, 2020
    • Financial planning clients · 251-500 to 11-25
      Nov 8, 2019 to Mar 26, 2020
    • State-registered IARs · 7 to 9
      Nov 8, 2019 to Mar 26, 2020
    • Discretionary RAUM · $220M to $14.5M
      Nov 8, 2019 to Mar 26, 2020
    • HNW RAUM · $109M to $11.5M
      Nov 8, 2019 to Mar 26, 2020
    • Individual RAUM · $106M to $1.0M
      Nov 8, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $0 to $757,829
      Nov 8, 2019 to Mar 26, 2020
    • Pooled vehicle RAUM · $791,043 to $757,829
      Nov 8, 2019 to Mar 26, 2020
    • RAUM · $220M to $15.3M
      Nov 8, 2019 to Mar 26, 2020
    • Accounts · 1,962 to 432
      Aug 16, 2018 to Mar 31, 2019
    • Advisory employees · 10 to 11
      Aug 16, 2018 to Mar 31, 2019
    • Charity clients · 3.0 to unset
      Aug 16, 2018 to Mar 31, 2019
    • HNW clients · 6 to 16
      Aug 16, 2018 to Mar 31, 2019
    • Individual clients · 833 to 363
      Aug 16, 2018 to Mar 31, 2019
    • Assets in custody · $372M to $94.5M
      Aug 16, 2018 to Mar 31, 2019
    • Employees · 14 to 15
      Aug 16, 2018 to Mar 31, 2019
    • Financial planning clients · More than 500 to 251-500
      Aug 16, 2018 to Mar 31, 2019
    • State-registered IARs · 10 to 7
      Aug 16, 2018 to Mar 31, 2019
    • Legal name · RUGGIE CAPITAL GROUP, INC. to RUGGIE CAPITAL GROUP, LLC
      Aug 16, 2018 to Mar 31, 2019
    • Discretionary RAUM · $579M to $220M
      Aug 16, 2018 to Mar 31, 2019
    • HNW RAUM · $142M to $109M
      Aug 16, 2018 to Mar 31, 2019
    • Individual RAUM · $435M to $106M
      Aug 16, 2018 to Mar 31, 2019
    • Non-discretionary RAUM · $2.6M to $0
      Aug 16, 2018 to Mar 31, 2019
    • Pooled vehicle RAUM · $257,038 to $791,043
      Aug 16, 2018 to Mar 31, 2019
    • RAUM · $581M to $220M
      Aug 16, 2018 to Mar 31, 2019
    • Organization form · Corporation to Limited Liability Company
      Mar 30, 2018 to Aug 16, 2018
    • Accounts · 1,837 to 1,962
      Sep 25, 2017 to Mar 30, 2018
    • Advisory employees · 6 to 10
      Sep 25, 2017 to Mar 30, 2018
    • Charity clients · unset to 3.0
      Sep 25, 2017 to Mar 30, 2018
    • HNW clients · unset to 6.0
      Sep 25, 2017 to Mar 30, 2018
    • Individual clients · unset to 833.0
      Sep 25, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 1.0
      Sep 25, 2017 to Mar 30, 2018
    • Assets in custody · unset to 372246723.0
      Sep 25, 2017 to Mar 30, 2018
    • Custody of client assets · false to true
      Sep 25, 2017 to Mar 30, 2018
    • Insurance-licensed employees · 4 to 8
      Sep 25, 2017 to Mar 30, 2018
    Signals
    3 dated events
    • Ruggie Wealth Management reported RAUM $15.3M, down 93% from $219.7M (2019-11-08 to 2020-03-26)
      Mar 26, 2020 · RAUM change · derived
    • Ruggie Wealth Management reported RAUM $219.7M, down 62% from $581.2M (2018-08-16 to 2019-03-31)
      Mar 31, 2019 · RAUM change · derived
    • Franklin Anthony Van Ore (Chief Operating Officer) appeared on Schedule A of Ruggie Wealth Management
      Mar 31, 2019 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026