Rioux & Company, Llc
- Regulatory AUM
- $20.5M
- Discretionary
- $20.5M
- Clients
- 71
- Avg AUM / client
- $288K
- Accounts
- 123
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2022
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63 | $12.4M | 60.5% |
| High net worth individuals | 8 | $8.1M | 39.5% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Arthur Rioux | Managing Director Chief Compliance Officer. | Apr 1996 (30y) | 75% or more | |
| Jack R Nicklis | Registered representative | Dec 2013 (13y) | ||
| Pablo Rene Rossetti | Registered representative | Dec 2013 (13y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rioux Capital Partners, Llc | Owner | Mar 1999 | A | 5% – 10% |
| Rioux & Company, Llc | Member (Ct Limited Liability Company) | Mar 1999 | B | ≈ 3.75% – 10% via Rioux Capital Partners, Llc |
| Bernard F. Grabowski | Members | Dec 1998 | B | ≈ 1.25% – 5% via Rioux Capital Partners, Llc |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Rioux & Company, Llc: 75% – 100% of Rioux Capital Partners, Llc × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Bernard F. Grabowski: 25% – 50% of Rioux Capital Partners, Llc × 5% – 10% direct ≈ 1.25% – 5% 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) | 03/30/2022 | 990 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
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2022.
View current Form ADV (SEC/IAPD) ↗