RSA Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,170,440
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
19
47% high-net worth
Advisors
1
of 2 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
19
LowAverage account size
$482,655
About
RSA Capital provides discretionary investment management and financial planning to individuals, family trusts, small businesses and institutions, and the firm notes it may serve foreign clients (mainly from China). It offers two core programs: the RSA Allocation Series of diversified mutual fund/ETF/stock allocations and the RSA Premiere Strategy, a quantitative model that selects primarily S&P 500 stocks.
The firm’s investment process combines Modern Portfolio Theory with strategic macro asset allocation and tactical micro allocation, using quantitative screening and qualitative review to pick investments. The Premiere Strategy is long‑only with rare hedging via index options or futures, the firm uses options (primarily covered calls) in client accounts, and fees are charged as a percentage of AUM with the option for performance‑based fees (up to 20%) calculated on an annual basis with possible P&L thresholds or high‑water‑mark features.
Compared with peers, RSA Capital discloses a meaningful non‑U.S. client presence and provides detailed performance reporting and benchmark comparisons through its custodian. The firm’s principal also operates as a life‑insurance agent and the brochure discloses fee‑sharing with referral partners, both of which are identified as potential sources of conflicts of interest.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Occupation focus
Founder/Business Owner
Retired
Fee options
$0+: 2.00% annually for RSA Aggressive Growth, RSA Moderate Growth, RSA Conservative Growth, RSA Appreciation and Income $0+: 1.50% annually for RSA Conservative Appreciation and RSA Income $0+: 2.00% annually for RSA Premiere Strategy
$500/hour for first year financial planning; $450/hour for following year review financial planning (when not associated with investment management)
Up to 20% performance fee annually on portfolio gains; 20% of quarterly gains if positive, 0 if negative
Account minimum: $5,000,000 for RSA Premiere Strategy; $5,000,000+ generally for RSA Allocation Series (though brochure inconsistently mentions $10,000,000 minimum initial investment for RSA Allocation Series)
Main office location
RSA Capital
Irvington NY, United States
Number of offices
1
Most active in
RSA Capital has reported serving >5 clients in these states in the last 12 months.
New York
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 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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