RUBICON ADVISORS

RUBICON ADVISORS, GP Legal Name

Adviser information for RUBICON ADVISORS last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Partnership
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	17
Investment Advisory/Research	16
Registered Broker-Dealer Representatives	7
Registered State Investment Advisers	7
Licensed Agents of an Insurance Company	7
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,752	$293.8M
Non-Discretionary	0	$0
Total	1,752	$293.8M

Clients

Type	Number	RAUM
Individuals	1,499	$181.3M
HNW Individuals	56	$101.6M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	19	$6.2M
Charitable organizations	<5	$3.1M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	<5	$1.6M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly charges

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	36.9M

Portfolio Manager to Program	Sponsor
RUBICON ADVISORS WRAP PROGRAM	RUBICON ADVISORS

Identifiers

SEC RIA File Number	801-109012
SEC ERA File Number	801-109012
SEC CIK Numbers	None
SEC CRD Numbers	174447
Legal Entity Identifier	None

Principal Office

1640 EAST CYPRESS
SUITE A
REDDING
CA
United States

Monday - Friday, 8-4

Tel: 530-223-5357, Fax: 707-205-4822

Websites

www.facebook.com/pg/rubicon-advisors-roseville-1239226006192778/about/ www.linkedin.com/in/brian-russell-4627b9102 www.linkedin.com/in/andrew-tenaglia-9aa7b9102 www.rubiconadvisors.com twitter.com/rubiconadvisors www.facebook.com/lplrubiconadvisors/?ref=page_internal www.youtube.com/@rubiconadvisors2867

Chief Compliance Officer

STEVE BOERO

OSJ, ADVISOR, AND PARTIAL OWNER

1640 EAST CYPRESS AVE

SUITE A

REDDING

United States

Tel: (530) 223-5357

Fax: (530) 232-5789

S***********@******M

(Full email address available in API data)

Regulatory Contact

BRIANA BOERO

DIRECTOR OF PERSONNEL, ASSISTANT TO CCO, DIRECTOR OF PERSONNEL