RM FINANCIAL SERVICES, LLC
Adviser information for RM FINANCIAL SERVICES, 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 | Maine, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 930 | $201.0M |
| Non-Discretionary | 4 | $6.7M |
| Total | 934 | $207.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 374 | $125.2M |
| HNW Individuals | 118 | $73.2M |
| 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 | <5 | $6.7M |
| Charitable organizations | <5 | $592,035 |
| 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 | $1.4M |
| Other | <5 | $629,892 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-120468 |
|---|---|
| SEC ERA File Number | 801-120468 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304297 |
| Legal Entity Identifier | None |
Principal Office
362 US ROUTE ONEFALMOUTH
ME
United States
M-F, M-TH 8:30-4:30; F 8:30-4:00
Tel: (207) 781-7637, Fax: (207) 781-7639
Websites
Chief Compliance Officer
CAYLA JANE MOORE
362 U.S. ROUTE 1
FALMOUTH
ME
United States
Tel:
(207) 781-7637
Fax:
(207) 781-7639
C****@**********M
(Full email address available in API data)
Regulatory Contact
AARON RUGH
CEO
362 U.S. ROUTE 1
FALMOUTH
ME
United States
Tel:
(207) 781-7637
Fax:
(207) 781-7639
A****@**********M
(Full email address available in API data)
Industry Affiliates
| BOOKKEEPING PLUS INC | Accountant or accounting firm |
| PURSHE KAPLAN STERLING INVESTMENTS | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUGH, AARON, PIKE | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2019 | 50-75% |
| MACLEOD, MARK, LAWRENCE | Individual | – | MANAGING MEMBER / PRESIDENT | 05/2019 | 50-75% |
| MOORE, CAYLA, JANE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |