Ria Global Research, Llc
- Regulatory AUM
- $928K
- Discretionary
- $928K
- Clients
- 13
- Avg AUM / client
- $71.4K
- Accounts
- 15
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 13 | $928K | 100.0% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Connie Nmn Mack | Chief Compliance Officer, Managing Member | Nov 2009 (17y) | ≈ 12.5% – 37.5% via Ria Advisors | |
| Lance Eric Roberts | Member | May 2016 (10y) | ≈ 12.5% – 37.5% via Ria Advisors | |
| Richard Michael Rosso | Member | CFP | May 2016 (10y) | ≈ 12.5% – 37.5% via Ria Advisors |
| Lebowitz, Michael, Paul | Sole Member | Jan 2021 (6y) | ≈ 18.75% – 50% via 720 Global, Llc |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ria Advisors | Member | Oct 2017 | A | 50% – 75% |
| 720 Global, Llc | Member | Oct 2017 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Connie Nmn Mack: 25% – 50% of Ria Advisors × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Lance Eric Roberts: 25% – 50% of Ria Advisors × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Richard Michael Rosso: 25% – 50% of Ria Advisors × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Lebowitz, Michael, Paul: 75% – 100% of 720 Global, Llc × 25% – 50% direct ≈ 18.75% – 50% 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) | 05/13/2026 | 1.1 MB | 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
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Pershing $928K (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 13, 2026.
View current Form ADV (SEC/IAPD) ↗