RAFFA INVESTMENT ADVISERS
RAFFA WEALTH MANAGEMENT LLC Legal Name
Adviser information for RAFFA INVESTMENT ADVISERS last updated from Form ADV on March 12th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 484 | $1.1B |
| Non-Discretionary | 55 | $151.2M |
| Total | 539 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $12.6M |
| HNW Individuals | 38 | $237.2M |
| 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 | 23 | $173.3M |
| Charitable organizations | 119 | $858.9M |
| 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 | 1 | $1.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)RETIREMENT INCOME PLANNING |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-67687 |
|---|---|
| SEC ERA File Number | 801-67687 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136971 |
| Legal Entity Identifier | None |
Principal Office
4325 VERPLANCK PLACE, NWWASHINGTON
DC
United States
Monday - Friday, 8:00 AM - 6:00 PM
Tel: 202-955-6734, Fax: 202-318-5926
Chief Compliance Officer
DENNIS P. GOGARTY
MANAGING MEMBER
4325 VERPLANCK PLACE, NW
WASHINGTON
DC
United States
Tel:
202-955-6734
Fax:
202-318-5926
D*****@****************M
(Full email address available in API data)
Regulatory Contact
RYAN FRYDENLUND
DIRECTOR OF OPERATIONS
2968 N RALEIGH ST
DENVER
CO
United States
Tel:
2029557208
Fax:
202-318-5926
R***@****************M
(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 |
|---|---|---|---|---|---|
| GOGARTY, DENNIS, PATRICK | Individual | – | MANAGING MEMBER | 07/2005 | 50-75% |
| RAFFA, THOMAS, J. | Individual | – | MEMBER | 07/2005 | 25-50% |
| GOGARTY, DENNIS, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2005 | 50-75% |