RGT WEALTH ADVISORS
RGT WEALTH ADVISORS, LLC Legal Name
Adviser information for RGT WEALTH ADVISORS last updated from Form ADV on March 1st, 2023. 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 | Delaware, United States |
Employees
| Total Number of Employees | 68 |
|---|---|
| Investment Advisory/Research | 38 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,292 | $5.6B |
| Non-Discretionary | 283 | $195.4M |
| Total | 4,575 | $5.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 91 | $51.0M |
| HNW Individuals | 620 | $5.5B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $115.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $54.2M |
| 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 | $56.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)BILL PROCESSING SERVICES, DIVORCE CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-27090 |
|---|---|
| SEC ERA File Number | 801-27090 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104953 |
| Legal Entity Identifier | None |
Principal Office
5950 SHERRY LANE, STE. 600DALLAS
TX
United States
Monday - Friday, 8:00 A.M-5:30 P.M.
Tel: 214-360-7000, Fax: 214-360-7010
Chief Compliance Officer
LARRY NAKAMURA
VP, HEAD OF US COMPLIANCE, CI FINANCIAL
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(305) 781-3040
L********@*****M
(Full email address available in API data)
Regulatory Contact
SCOTT AKINS
GENERAL COUNSEL
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(214) 893-7131
S*****@*****M
(Full email address available in API data)
Industry Affiliates
| CI PRIVATE WEALTH | Other investment adviser, including financial planners |
| GROWTH CAPITAL 2019 GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RGT HOLDINGS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RGT HOLDINGS III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RGT HOLDINGS, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GROWTH CAPITAL 2019, L.P. | Private Equity Fund | $14.1M | $0.5M | 96 |
| GROWTH CAPITAL DIVERSIFIED FUND, L.P. | Private Equity Fund | $23.1M | $0.1M | 67 |
| GROWTH CAPITAL ENERGY, L.P. | Private Equity Fund | $20.5M | $0.3M | 7 |
| GROWTH CAPITAL PRIVATE EQUITY, L.P. | Private Equity Fund | $19.2M | $0.3M | 15 |
| GROWTH CAPITAL QP DIVERSIFIED FUND, L.P. | Private Equity Fund | $12.9M | $0.3M | 27 |
| GROWTH CAPITAL REAL ESTATE, L.P. | Real Estate Fund | $4.5M | $0.3M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRIEGE, MARK, CHARLES | Individual | – | CHIEF EXECUTIVE OFFICER AND MANAGER | 03/1989 | < 5% |
| Lodwick, Peter, Alan | Individual | – | MANAGING DIRECTOR | 10/2016 | < 5% |
| CARDWELL, CRAIG, GRAHAM | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| CI FINANCIAL CORP. | Foreign Entity | CI US HOLDINGS, INC | OWNER | 11/2019 | > 75% |
| ROSS, JAIME, E | Individual | – | MANAGER | 12/2020 | < 5% |
| PESIKOFF, HEATHER, MEDWICK | Individual | – | CHIEF OPERATING OFFICER | 07/2021 | < 5% |
| CIPW HOLDINGS, LLC | Domestic Entity | CI PRIVATE WEALTH, LLC | OWNER | 12/2021 | > 75% |
| CI US HOLDINGS, INC | Domestic Entity | CIPW HOLDINGS, LLC | OWNER | 12/2021 | > 75% |
| CI PRIVATE WEALTH, LLC | Domestic Entity | – | OWNER | 12/2021 | > 75% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |