R
Rand Group Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$80,000,000
Clients
42
79% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
42
HighAverage account size
$1,904,762
About
Rand Group Financial provides ongoing portfolio management and investment advisory services primarily to high‑net‑worth individuals, preparing individualized Investment Policy Statements and acting as a fiduciary for retirement accounts. Services cover discretionary portfolio management across mutual funds, ETFs, equities, fixed income and real estate funds, with documented risk tolerances and time horizons for each client.
The firm applies Modern Portfolio Theory and a long‑term trading approach to align portfolios with clients’ risk/return objectives and will generally seek discretionary authority to implement investment decisions. The brochure notes that clients are required to custody assets at Schwab Institutional and that the firm may receive custodial research and related services; the firm does not use third‑party sub‑advisers.
Rand Group Financial manages roughly $80 million across about 42 client accounts, a concentration that is notable for a small advisory practice. The firm’s Form ADV discloses significant regulatory and financial history for the principal — including an Acceptance, Waiver and Consent with FINRA that resulted in forfeiture of a Series 7 and a bar from broker‑dealer registration, prior broker‑dealer terminations, and outstanding judgments/liens (including an IRS lien under dispute) — and it discloses that it does not aggregate trades for multiple client accounts, which may affect execution outcomes.
Client services
Portfolio management
Expertise
Wealth management
Real estate investing
Fee options
$0 - $3,000,000: 2.20% $3,000,000.01 - $5,000,000: 1.50% $5,000,000.01+: 1.00%
Main office location
Rand Group Financial
San Francisco CA, United States
Number of offices
2
Most active in
Rand Group Financial has reported serving >5 clients in these states in the last 12 months.
California · Florida
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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