Rubicon Investment Management & Analytics
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
0
Total advisors
1
of 1 employees
Firm size
Investment Manager
May not manage individual clients
Average clients per advisor
0
Average account size
—
About
Rubicon provides discretionary and non-discretionary investment management and trading services with a primary focus on individual equity markets for U.S. high-net-worth individuals, retirement plans, and trusts. The brochure reports the firm operates with a single advisory professional and shows zero assets under management as of the most recent filing.
The firm uses proprietary quantitative and technical methods combined with fundamental research, described in its CANTATA framework, and emphasizes active, shorter-term trading with trade-management tools such as stop orders and trailing stops. Accounts are typically managed on a discretionary basis and the adviser may enter performance-based compensation arrangements for qualified clients.
Several features in the brochure are notable relative to peers: the strategy explicitly incorporates market-timing elements, the firm provides market/portfolio updates or periodical communications, and the filing discloses a past regulatory undertaking concerning withdrawal of registrations. The brochure also notes an unusual operational posture — a temporary pause in fee billing and a small, single-advisor structure with an affiliated insurance license — details that differentiate it from typical investment-manager profiles.
Client services
Expertise
Fee options
$0+: 1.5% +: up to 2.50%
Up to 20% of profits exceeding prior losses each month from accredited investors
Account minimum: $1,100,000
Main office location
Rubicon Investment Management & Analytics
Wimberley TX, United States
Number of offices
1
Most active in
Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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