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••••••• I•••••••••
Legal name R••••••• I••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Dec 12, 2024 · 9 filings
SEC status approved since Jan 21, 2025
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$117M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$27.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$138M as of Mar 24, 2026
Jan 2, 2025$114M then
HNW client RAUM$63.6M as of Mar 24, 2026
Jan 2, 2025$20.0M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Jan 2, 20250 then
Employees (5.A)5 as of Mar 24, 2026
Jan 2, 20253 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 0 to 0offices 3 to 4
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $27.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $179,373derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $42.2M, 166 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$63.6M46%
- Individuals$53.0M39%
- Pension and profit-sharing plans$19.2M14%
- Corporations and businesses$1.7M1.3%
- Individual clients
- 366reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 767reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.2M for 166 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• W••••• R••••••• | Ft. Lauderdale, Fl | Nov 24, 2015 | 11 y | 0 |
| T••••• A•••••• R••••••• | Port Jefferson, Ny | Nov 15, 2019 | 39 y | 4 |
| C••••••••• T••••• R••••••• | Melbourne, Fl | May 18, 2025 | 23 y | 8 |
| D••••• B••••• J•••• | Melbourne, Fl | Jan 7, 2026 | 23 y | 0 |
| M•••••• C••••• | Port Jefferson, Ny | Apr 28, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J•••••• C•••••• R•••••• to F••••• I•••••••••Dec 7, 2023 · RIA to RIA
Joined, latest
- M•••••• C••••• from O•••• W•••••• I•••Apr 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• T••••• R••••••• from B• R•••• W••••• A•••••••• I•••May 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••••• C•••••• R•••••• from T••••• W•••••• L•••••Feb 15, 2023 · RIA to RIA
- T••••• A•••••• R••••••• from S••••• A••• A•••• M••••••••• I•••Nov 15, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• T•••••• A•••••• · Ceo & Chief Compliance Officercontrolsince 08/2013 · owns 50% to 75%
- R•••••••• T•••••• W••••• · Presidentcontrolsince 12/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- R••••••• G•••• B••••••• A•••••• L••real estatey
- R••••••• I•••••••• A•••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Port Jefferson, Ny | 4 | 1 | 0 | ||
| Ft Lauderdale, Fl | 3 | 0 | 0 | ||
| Melbourne, Fl | 3 | 1 | 0 | ||
| West Palm Beach, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL1 employees
- Melbourne, FL1 employees
- Port Jefferson, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 18.0% to 46.0% between the annual amendments of 2025-03-11 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 742 to 767Nov 11, 2025 to Mar 24, 2026
- Advisory employees · 3 to 4Nov 11, 2025 to Mar 24, 2026
- BD registered reps · 3 to 4Nov 11, 2025 to Mar 24, 2026
- Charity clients · 2.0 to unsetNov 11, 2025 to Mar 24, 2026
- Corporate clients · 12 to 7Nov 11, 2025 to Mar 24, 2026
- HNW clients · 25 to 26Nov 11, 2025 to Mar 24, 2026
- Individual clients · 431 to 366Nov 11, 2025 to Mar 24, 2026
- Pension plan clients · 14.0 to unsetNov 11, 2025 to Mar 24, 2026
- Assets in custody · $21.9M to $42.2MNov 11, 2025 to Mar 24, 2026
- Employees · 3 to 5Nov 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $114M to $138MNov 11, 2025 to Mar 24, 2026
- HNW RAUM · $20.0M to $63.6MNov 11, 2025 to Mar 24, 2026
- Individual RAUM · $75.0M to $53.0MNov 11, 2025 to Mar 24, 2026
- Pension RAUM · $2.0M to $19.2MNov 11, 2025 to Mar 24, 2026
- RAUM · $114M to $138MNov 11, 2025 to Mar 24, 2026
- BD registered reps · 2 to 3Jul 21, 2025 to Nov 11, 2025
- Financial planning clients · 0 to 0Jul 21, 2025 to Nov 11, 2025
- Other offices · 3 to 4Jul 21, 2025 to Nov 11, 2025
- Related insurance company · false to trueJul 21, 2025 to Nov 11, 2025
- Advisory activities · 6 to 5Dec 12, 2024 to Jan 2, 2025
- Pension plan clients · 2 to 14Dec 12, 2024 to Jan 2, 2025
- Commission compensation · true to falseDec 12, 2024 to Jan 2, 2025
- Assets in custody · $110M to $21.9MDec 12, 2024 to Jan 2, 2025
Signals
2 dated events
- R••••••• I••••••••• filed its initial SEC registration (Form ADV)Dec 12, 2024 · First SEC registration · fact
- J•••••• C•••••• R•••••• left R••••••• I••••••••• for F••••• I••••••••• (registered 2023-11-13)Dec 7, 2023 · Advisor changed firm · 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@ruggieroinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-777-4726reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ruggieroinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 777-4726reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- ruggieroinvestments.com/meet-our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $27.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026