RIA ADVISORY GROUP, LLC
Adviser information for RIA ADVISORY GROUP, LLC last updated from Form ADV on March 25th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 21 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,733 | $392.2M |
| Non-Discretionary | 66 | $6.7M |
| Total | 2,799 | $398.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,555 | $241.1M |
| HNW Individuals | 71 | $138.5M |
| 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 | 16 | $8.3M |
| Charitable organizations | 0 | $0 |
| 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 | 23 | $10.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 29 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Principal Office
500 SW 7TH STREETSUITE 305
DES MOINES
IA
United States
Monday - Friday, 8:30 AM - 4:00 PM
Tel: 515 965-8588, Fax: 501 325-6652
Chief Compliance Officer
MARY GIBBONS
500 SW 7TH STREET
SUITE 305
DES MOINES
IA
United States
Tel:
515 965-8588
Fax:
501 325-6652
C*********@*******************M
(Full email address available in API data)
Regulatory Contact
BRIAN VESTAL
INVESTMENT ADVISOR REPRESENTATIVE
500 SW 7TH ST
SUITE 305
DES MOINES
IA
United States
Tel:
515 965-8588
B***********@*******************M
(Full email address available in API data)
Industry Affiliates
| ELO CPAS & ADVISORS | Accountant or accounting firm |
| INSURANCE BROKERS OF MINNESOTA | Insurance company or agency |
| JOHN PEAK JR CPA PC | Accountant or accounting firm |
| STIER LAW | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GIBBONS, MARY, LOUISE | Individual | – | CCO | 10/2019 | 25-50% |
| GIBBONS, JEFFREY, LAWRENCE | Individual | – | MEMBER/OWNER | 10/2019 | 10-25% |
| VESTAL, BRIAN, LEE | Individual | – | MANAGING MEMBER | 12/2020 | 25-50% |
| RAUSCH, DANA, GENE | Individual | – | MEMBER/OWNER | 12/2020 | 10-25% |
| HANSON, CHRISTOPHER, JOHN | Individual | – | MEMBER/OWNER | 12/2020 | 10-25% |