Ruggaard & Associates, Llc
- Regulatory AUM
- $369M
- Discretionary
- $350M
- Clients
- 314
- Avg AUM / client
- $1.2M
- Accounts
- 998
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 209 | $286M | 77.6% |
| High net worth individuals | 105 | $68.8M | 18.7% |
| Charitable organizations | Fewer than 5 clients | $2.0M | 0.55% |
| Corporations and other businesses | Fewer than 5 clients | $9.7M | 2.63% |
| Other | Fewer than 5 clients | $2.1M | 0.57% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Randall Paul Ruggaard | President, Portfolio Manager | Chartered Financial Consultant | Jan 2002 (25y) | ≈ 18.75% – 50% via Rm Group Holdings Llc |
| John Dean May | Member, Vice President, Co Portfolio Manager | CFP | Aug 2018 (8y) | 10% – 25% |
| Ryan Philip Ruggaard | Member, Cco, Vice President, Director Of Research | Jul 2022 (4y) | 10% – 25% | |
| David Adam Sleeter | Vice President, Co Portfolio Manager | CFA | Jan 2023 (4y) | ≈ 7.5% – 25% via Sandy Bay, Llc |
| Janis Sue Sleeter | Registered representative | CFP | Jan 2023 (4y) | |
| Tom Howard Sleeter | Registered representative | Jan 2023 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rm Group Holdings Llc | Member | Jan 2022 | A | 25% – 50% |
| Sandy Bay, Llc | Member | Jan 2023 | A | 10% – 25% |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Randall Paul Ruggaard: 75% – 100% of Rm Group Holdings Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
- David Adam Sleeter: 75% – 100% of Sandy Bay, Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 987 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $243M (66% of AUM) Mar 2026
- Charles Schwab & Co. $122M (33% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗