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

Rudd Asset Management

Former SEC-registered adviserSarasota, FloridaCRD 162821SEC 801-111723IAPD
Legal name Rudd International, Inc.
Latest filing Jun 19, 2020
First filing on the tape Aug 22, 2017 · 10 filings
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$217M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$225M as of Feb 24, 2020
Mar 16, 2018$153M then
HNW client RAUM$129M as of Feb 24, 2020
Mar 6, 2019$50.0M then
State-registered IARs (5.B.3)2 as of Feb 24, 2020
Mar 16, 20182 then
Employees (5.A)5 as of Feb 24, 2020
Mar 16, 20184 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 19, 2020; every figure names its basis
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
156derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$334,636derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-49%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$129M57%
  • Individuals$88.5M39%
  • Charitable organizations$6.1M2.7%
  • Insurance companies$1.6M0.7%
Individual clients
235reported
HNW clients
76reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
673reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • Jose Joia · Vice Presidentcontrol
      since 12/2018 · owns 10% to 25%
    • Lauren Rudd · President / Ccocontrol
      since 01/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 607 to 673
      Jan 30, 2020 to Feb 24, 2020
    • HNW clients · 30 to 76
      Jan 30, 2020 to Feb 24, 2020
    • Individual clients · 574 to 235
      Jan 30, 2020 to Feb 24, 2020
    • Financial planning clients · 251-500 to 0
      Jan 30, 2020 to Feb 24, 2020
    • Discretionary RAUM · $180M to $225M
      Jan 30, 2020 to Feb 24, 2020
    • HNW RAUM · $50.0M to $129M
      Jan 30, 2020 to Feb 24, 2020
    • Individual RAUM · $124M to $88.5M
      Jan 30, 2020 to Feb 24, 2020
    • RAUM · $180M to $225M
      Jan 30, 2020 to Feb 24, 2020
    • Accounts · 568 to 607
      Apr 19, 2018 to Mar 6, 2019
    • Charity clients · 3 to 2
      Apr 19, 2018 to Mar 6, 2019
    • HNW clients · unset to 30.0
      Apr 19, 2018 to Mar 6, 2019
    • Individual clients · 350 to 574
      Apr 19, 2018 to Mar 6, 2019
    • Employees · 4 to 5
      Apr 19, 2018 to Mar 6, 2019
    • Discretionary RAUM · $153M to $180M
      Apr 19, 2018 to Mar 6, 2019
    • HNW RAUM · unset to 50000000.0
      Apr 19, 2018 to Mar 6, 2019
    • Individual RAUM · $149M to $124M
      Apr 19, 2018 to Mar 6, 2019
    • RAUM · $153M to $180M
      Apr 19, 2018 to Mar 6, 2019
    • Accounts · 484 to 568
      Aug 22, 2017 to Mar 16, 2018
    • Charity clients · unset to 3.0
      Aug 22, 2017 to Mar 16, 2018
    • Individual clients · unset to 350.0
      Aug 22, 2017 to Mar 16, 2018
    • Employees · 5 to 4
      Aug 22, 2017 to Mar 16, 2018
    • Other offices · unset to 0.0
      Aug 22, 2017 to Mar 16, 2018
    • Discretionary RAUM · $119M to $153M
      Aug 22, 2017 to Mar 16, 2018
    • Individual RAUM · unset to 148842000.0
      Aug 22, 2017 to Mar 16, 2018
    • RAUM · $119M to $153M
      Aug 22, 2017 to Mar 16, 2018
    Signals
    2 dated events
    • Jose Joia (Shareholder) appeared on Schedule A of Rudd Asset Management
      Mar 6, 2019 · Control person joined · fact
    • Rudd Asset Management filed its initial SEC registration (Form ADV)
      Aug 22, 2017 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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