Rja Asset Management LLC (Darien)

Name: Rja Asset Management LLC
Address: 17 Old Kings Highway South, Darien, CT, 06820
Telephone: 203-655-8200

Rja Asset Management LLC is a large advisory firm based in Darien. It manages $420.43 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of Connecticut and Missouri.

Rja Asset Management provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rja Asset Management: assets under management

The assets under management (AUM) of Rja Asset Management LLC is $420.43 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -8% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $420.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $84.09 million each.

Investments

The firm invests in derivatives the most. They account for 58% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 29% of the firm’s portfolio. Investments in exchange traded securities form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rja Asset Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rja Asset Management serves?

The only and largest group of clients of Rja Asset Management is pooled investment vehicles with 1 clients and $28.3 million of assets under management. Among the 11 most similar advisory firms, Rja Asset Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $28.3 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Rja Asset Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $25,000,000 for each fund.

Careers at Rja Asset Management LLC

The company employs 9 people that are either part- or full-time employees. 89 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ricky Lee Antle	Principal and cco	1 Feb 2009	Other	4780018
Andrew Jeffrey	Principal	1 Oct 2011	Other	6002423
Nicholas Jarvis Leeper	Principal	1 Jan 2017	Other	5719863
Estate Of Stephen Alan Ross	Equity owner	1 Mar 2017	50% - 75%	826210317

Based in Darien

The principal office where Rja Asset Management LLC performs its advisory services is located at 17 Old Kings Highway South, Darien, CT 06820 The mailing address of the firm is 17 Old Kings Highway South, Darien, CT 06820. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-655-8200 or by fax 203-655-8205. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at rja-llc.com.