Hedge Fund Database

RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES, LLC Legal Name

Adviser information for RUGGAARD & ASSOCIATES last updated from Form ADV on March 13th, 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 Ohio, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 865 $312.2M
Non-Discretionary 0 $0
Total 865 $312.2M

Clients

Type Number RAUM
Individuals 204 $72.9M
HNW Individuals 80 $227.1M
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 0 $0
Charitable organizations <5 $1.8M
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 $8.7M
Other <5 $1.7M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesTAX SERVICES
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-43618
SEC ERA File Number 801-43618
SEC CIK Numbers 1971230
SEC CRD Numbers 107489
Legal Entity Identifier None

Principal Office

2196 E ENTERPRISE PARKWAY
TWINSBURG
OH
United States
Monday - Friday, 9:00 - 5:00 PM
Tel: (330) 487-5888, Fax: (330) 487-5886

Websites

www.ruggaard.net/ www.linkedin.com/company/ruggaardfinancialplanners/

Chief Compliance Officer

RYAN RUGGAARD
VICE PRESIDENT, DIRECTOR OF RESEARCH
2196 E. ENTERPRISE PARKWAY
TWINSBURG
OH
United States
Tel: (330) 487-5888
Fax: (330) 487-5886
(Full email address available in API data)

Regulatory Contact

CHRIS STANLEY
FOUNDING PRINCIPAL, BEACH STREET LEGAL
PO BOX 31681
DES PERES
MO
United States
Tel: (314) 441-6191
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
RUGGAARD, RANDALL, PAUL Individual – PRESIDENT, PORTFOLIO MANAGER 08/2004 < 5%
RM GROUP HOLDINGS LLC Domestic Entity – MEMBER 01/2022 25-50%
RUGGAARD, RANDALL, PAUL Individual RM GROUP HOLDINGS LLC SHAREHOLDER 01/2022 > 75%
MAY III, JOHN, DEAN Individual – MEMBER, VICE PRESIDENT, CO-PORTFOLIO MANAGER 07/2022 10-25%
RUGGAARD, RYAN, PHILIP Individual – MEMBER, CCO, VICE PRESIDENT, DIRECTOR OF RESEARCH 07/2022 10-25%
SLEETER, DAVID, ADAM Individual – VICE PRESIDENT, CO-PORTFOLIO MANAGER 01/2023 10-25%
SLEETER, DAVID, ADAM Individual SANDY BAY, LLC VICE PRESIDENT, CO-PORTFOLIO MANAGER 01/2023 > 75%
SANDY BAY, LLC Domestic Entity – MEMBER 01/2023 10-25%

No. Employees, Historic

10502020202120222023202420256 on 3/24/20206 on 5/1/20205 on 10/5/20205 on 10/7/20205 on 3/29/20216 on 3/23/20226 on 3/23/20226 on 4/4/20227 on 7/18/20227 on 7/27/20227 on 12/9/202210 on 1/3/202310 on 1/13/202310 on 3/14/202310 on 11/28/202310 on 3/13/2024

RAUM, Historic

400M200M0202020212022202320242025195625342 on 3/24/2020195625342 on 5/1/2020195625342 on 10/5/2020195625342 on 10/7/2020209077889 on 3/29/2021238639739 on 3/23/2022238639739 on 3/23/2022238639739 on 4/4/2022238639739 on 7/18/2022238639739 on 7/27/2022238639739 on 12/9/2022238639739 on 1/3/2023238639739 on 1/13/2023210516139 on 3/14/2023210516139 on 11/28/2023312221509 on 3/13/2024

No. Clients, Historic

3001500202020212022202320242025148 on 3/24/2020148 on 5/1/2020148 on 10/5/2020148 on 10/7/2020154 on 3/29/2021160 on 3/23/2022160 on 3/23/2022160 on 4/4/2022160 on 7/18/2022160 on 7/27/2022160 on 12/9/2022160 on 1/3/2023160 on 1/13/2023181 on 3/14/2023181 on 11/28/2023284 on 3/13/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERICAN CENTY ETF TR US QUALITY GROW 11M 126K –
CAPITAL GRP FIXED INCM ETF T CORE PLUS INCM 14M 625K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 13M 385K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 9M 55K –
ISHARES TR CORE S&P SCP ETF 559K 5K –
ISHARES TR CORE S&P TTL STK 524K 4K –
ISHARES TR IBONDS 2026 TERM 13M 564K –
ISHARES TR IBONDS DEC24 ETF 12M 468K –
ISHARES TR RUS 1000 GRW ETF 8M 21K –
ISHARES TR S&P MC 400GR ETF 865K 10K –
ISHARES TR S&P SML 600 GWT 1M 11K –
J P MORGAN EXCHANGE TRADED F ACTIVE BOND ETF 12M 228K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 14M 287K –
VANECK ETF TRUST MRNGSTR WDE MOAT 11M 131K –
VANGUARD INDEX FDS MID CAP ETF 12M 51K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 6M 105K –
VANGUARD INDEX FDS MCAP VL IDXVIP 6M 43K –
VANGUARD INDEX FDS SMALL CP ETF 6M 27K –
AGNICO EAGLE MINES LTD COM 796K 12K –
DEERE & CO COM 432K 1K –
DEERE & CO COM 19K 50 –
EAGLE MATLS INC COM 670K 3K –
INGREDION INC COM 715K 6K –
MCDONALDS CORP COM 253K 992 –
MICROSOFT CORP COM 3M 6K –
MICROSOFT CORP COM 45K 100 –
VANGUARD INDEX FDS EXTEND MKT ETF 262K 2K –
INVESCO QQQ TR UNIT SER 1 980K 2K –
INVESCO QQQ TR UNIT SER 1 48K 100 –
ABBOTT LABS COM 323K 3K –
CISCO SYS INC COM 441K 9K –
CONOCOPHILLIPS COM 2M 14K –
JOHNSON & JOHNSON COM 607K 4K –
MOTOROLA SOLUTIONS INC COM NEW 334K 865 –
NOVARTIS AG SPONSORED ADR 782K 7K –
OLD REP INTL CORP COM 681K 22K –
ROYAL BK CDA COM 564K 5K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 797K 27K –
ISHARES TR CORE S&P500 ETF 4M 7K –
J P MORGAN EXCHANGE TRADED F MKT EXPN ENHNCD 2M 28K –
WISDOMTREE TR GLB US QTLY DIV 505K 13K –
COLUMBIA ETF TR I RESH ENHNC VLU 970K 42K –
VANGUARD INDEX FDS GROWTH ETF 1M 3K –
WISDOMTREE TR US QTLY DIV GRT 993K 13K –
ISHARES TR CORE S&P MCP ETF 1M 20K –
AFLAC INC COM 715K 8K –
AMERICAN EXPRESS CO COM 462K 2K –
APPLIED MATLS INC COM 220K 933 –
S&P GLOBAL INC COM 269K 603 –
SUNCOR ENERGY INC NEW COM 321K 8K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 560K 3K –
THERMO FISHER SCIENTIFIC INC COM 606K 1K –
BANK NOVA SCOTIA HALIFAX COM 392K 9K –
CIVITAS RESOURCES INC COM NEW 774K 11K –
D R HORTON INC COM 295K 2K –
DOLLAR GEN CORP NEW COM 480K 4K –
ISHARES TR CORE DIV GRWTH 702K 12K –
ISHARES TR IBONDS DEC25 ETF 932K 37K –
PIMCO ETF TR ENHAN SHRT MA AC 713K 7K –
PIMCO ETF TR MULTISECTOR BD 387K 15K –
ALPHABET INC CAP STK CL A 469K 3K –
ALPHABET INC CAP STK CL A 109K 600 –
AMAZON COM INC COM 1M 5K –
AMAZON COM INC COM 62K 320 –
APPLE INC COM 8M 38K –
APPLE INC COM 215K 1K –
ELI LILLY & CO COM 503K 556 –
ELI LILLY & CO COM 18K 20 –
VISA INC COM CL A 498K 2K –
VISA INC COM CL A 79K 300 –
JANUS DETROIT STR TR HENDRSON AAA CL 244K 5K –
LADDER CAP CORP CL A 659K 58K –
TJX COS INC NEW COM 387K 4K –
TRACTOR SUPPLY CO COM 216K 799 –
TRACTOR SUPPLY CO COM 54K 200 –
VANGUARD INDEX FDS TOTAL STK MKT 657K 2K –
CHEVRON CORP NEW COM 657K 4K –
CHEVRON CORP NEW COM 16K 100 –
ISHARES TR S&P MC 400VL ETF 221K 2K –
ARK ETF TR INNOVATION ETF 243K 6K –
CANADIAN NAT RES LTD COM 328K 9K –
ENERGY TRANSFER L P COM UT LTD PTN 211K 13K –
TEXAS INSTRS INC COM 1M 6K –
JPMORGAN CHASE & CO. COM 772K 4K –
ROCKWELL AUTOMATION INC COM 229K 833 –
HOME DEPOT INC COM 352K 1K –
HOME DEPOT INC COM 52K 150 –
WALMART INC COM 560K 8K –
BHP GROUP LTD SPONSORED ADS 418K 7K –
NUTRIEN LTD COM 292K 6K –
VALERO ENERGY CORP COM 629K 4K –
PHILLIPS 66 COM 377K 3K –
PROCTER AND GAMBLE CO COM 652K 4K –
ALCON AG ORD SHS 435K 5K –
CAPITAL ONE FINL CORP COM 222K 2K –
GATX CORP COM 357K 3K –
ISHARES TR MSCI ACWI ETF 291K 3K –
ISHARES TR RUS 1000 ETF 463K 2K –
MERCADOLIBRE INC COM 248K 151 –
SCHWAB STRATEGIC TR US LCAP GR ETF 637K 6K –
COSTCO WHSL CORP NEW COM 760K 894 –
AT&T INC COM 194K 10K –
BLACK HILLS CORP COM 238K 4K –
MERCK & CO INC COM 250K 2K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 280K 688 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 41K 100 –
NVIDIA CORPORATION COM 2M 15K –
NVIDIA CORPORATION COM 49K 400 –
DIAGEO PLC SPON ADR NEW 232K 2K –
TRAVELERS COMPANIES INC COM 203K 1K –
PEPSICO INC COM 478K 3K –
PEPSICO INC COM 16K 100 –
SCHWAB STRATEGIC TR US BRD MKT ETF 281K 4K –
SCHWAB STRATEGIC TR US BRD MKT ETF 774 12 –
SCHWAB STRATEGIC TR US MID-CAP ETF 586K 8K –
SCHWAB STRATEGIC TR US SML CAP ETF 406K 9K –
PROGRESSIVE CORP COM 320K 2K –
PROGRESSIVE CORP COM 42K 200 –
ISHARES TR RUS MD CP GR ETF 618K 6K –
ISHARES TR RUS MDCP VAL ETF 248K 2K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 348K 650 –
SELECT SECTOR SPDR TR TECHNOLOGY 367K 2K –
REGENERON PHARMACEUTICALS COM 372K 354 –
SPDR S&P 500 ETF TR TR UNIT 633K 1K –
AMBEV SA SPONSORED ADR 21K 10K –
CANADIAN NATL RY CO COM 378K 3K –
EXXON MOBIL CORP COM 628K 5K –
EXXON MOBIL CORP COM 12K 100 –
ELLSWORTH GROWTH & INCOME FD COM 155K 19K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 355K 7K –
PUBLIC SVC ENTERPRISE GRP IN COM 238K 3K –
ISHARES TR S&P 500 GRWT ETF 303K 3K –
HALLADOR ENERGY COMPANY COM 85K 11K –