Rioux & Company, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$20,463,947
Total clients
71
11% high-net worth
Total advisors
3
of 1 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
24
Average account size
$288,225
About
Rioux & Company LLC provides discretionary portfolio management to individual and high-net-worth clients as well as joint accounts, qualified retirement plans, trusts, foundations, and charitable organizations. The firm also makes separate consulting and portfolio-review services available to clients on a prepaid or hourly basis upon request.
The adviser constructs portfolios using a broad set of instruments — including equities, fixed income, mutual funds and ETFs, ADRs and warrants — and employs derivative strategies when appropriate, such as option writing, margin trading and short sales; client consent is required for margin, short sale or uncovered option activity. Investment decisions are informed by modern portfolio theory plus fundamental and technical analysis, and accounts are reviewed at least twice a year with more frequent monitoring during periods of market stress.
As a single-advisor independent RIA managing roughly $20.5 million for about 71 clients, the firm notes it dedicates concentrated attention and resources to a limited number of relationships and draws on decades of industry experience. The brochure discloses several operational distinctions: the firm does not accept soft-dollar or other outside economic benefits, does not vote client proxies, and recommends custodians or broker-dealers only with client consent.
Client services
Expertise
Fee options
Portfolio review fees: Up to $100,000 = $350; $100,001-$200,000 = $825; $200,001-$300,000 = $1,500; Over $300,000 = $3,000
$0 - $100,000: 1.5% annually plus expenses $100,000+: 1.0% annually plus expenses
Starts at $175 per hour plus expenses
Account minimum: $100,000
Most active in
Connecticut
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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