Ruggiero Investments, Inc.
- Regulatory AUM
- $138M
- Discretionary
- $138M
- Clients
- 399
- Avg AUM / client
- $345K
- Accounts
- 767
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 366 | $53.0M | 38.6% |
| High net worth individuals | 26 | $63.6M | 46.2% |
| Pension and profit sharing plans | Fewer than 5 clients | $19.2M | 14.0% |
| Corporations and other businesses | 7 | $1.7M | 1.27% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Anthony Ruggiero | Ceo & Chief Compliance Officer | Aug 2013 (13y) | 50% – 75% | |
| Thomas Wesley Ruggiero | President | Nov 2015 (11y) | 50% – 75% | |
| Christopher Thomas Ruggiero | Registered representative | May 2025 (1y) | ||
| Donald Blatch Johns | Registered representative | Jan 2026 (1y) | ||
| Matthew Cianci | Registered representative | Apr 2026 (0y) |
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) | 03/24/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $137M (99% 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 24, 2026.
View current Form ADV (SEC/IAPD) ↗