{"url":"https://nivawealth.com/firms/rdm-capital-associates-106941","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106941","regulatoryAum":164459124,"crd":"106941","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"865368","suffix":null,"lastName":"LAROCCA","firstName":"BRUNO","middleName":null},{"crd":"5873426","suffix":null,"lastName":"LAROCCA","firstName":"MATTHEW","middleName":"LATIMER"},{"crd":"6346353","suffix":null,"lastName":"STRAUSS","firstName":"ALEXANDER","middleName":"J"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-05-07","regulatoryAum":107080550,"clients":99,"employees":4,"offices":1},{"filedOn":"2025-02-10","regulatoryAum":127578442,"clients":110,"employees":4,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":164459124,"clients":127,"employees":4,"offices":1}],"secFileNumber":"801-129856","legalName":"RDM Capital Associates Inc","displayName":"RDM Capital Associates","slug":"rdm-capital-associates-106941","website":"https://rdmcapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/2647658/","founded":null,"organization":"New Jersey corporation","fiscalYearEnd":"December","headquarters":{"street":"263 Broad St","city":"Red Bank","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07701"},"tradeNames":[],"registration":{"secApproved":"9 April 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1228768.0793650793,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":164459124,"discretionary":164459124,"discretionaryAccounts":256,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":77,"regulatoryAum":20178246},{"label":"High-net-worth individuals","clients":49,"regulatoryAum":134646532},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":9634346}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:53:30.595056+00:00","documents":[{"name":"RDM FORM ADV PART2A 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032292","versionId":1032292,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":164459124}],"custodyNote":"RDM Capital Associates has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Bruno Larocca","title":"President, Dir","crd":"865368"},{"name":"Matthew Larocca","title":"Managing Director, Treasurer, Chief Compliance Officer","crd":"5873426"}],"ownership":[{"label":"Bruno Larocca","detail":"President, dir in the 75% or more ownership band and a control person, since December 1988."},{"label":"Matthew Larocca","detail":"Managing director, treasurer, chief compliance officer in the 10% to 25% ownership band and a control person, since August 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"263 Broad St","city":"Red Bank","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"732-576-1671","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":89},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106941/PDF/106941.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032292","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does RDM Capital Associates have?","answer":"RDM Capital Associates has 127 clients and manages $164 million for them, as of March 2026. They include 77 individual clients, 49 high-net-worth individuals and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RDM Capital Associates offer?","answer":"RDM Capital Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does RDM Capital Associates use?","answer":"RDM Capital Associates’ separately managed account assets are held at Pershing Advisor Solutions LLC (Jersey City, NJ), with $164M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does RDM Capital Associates have?","answer":"RDM Capital Associates has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does RDM Capital Associates invest in?","answer":"At the end of its last fiscal year, RDM Capital Associates’ separately managed accounts held 89% exchange-traded equities, 6% cash and equivalents, 2% investment grade corporate bonds, 2% registered funds (mutual funds, ETFs, BDCs) and 1% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns RDM Capital Associates?","answer":"RDM Capital Associates’ direct owners are Bruno Larocca (75% or more) and Matthew Larocca (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RDM Capital Associates get paid?","answer":"RDM Capital Associates is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact RDM Capital Associates?","answer":"RDM Capital Associates’ main office is at 263 Broad St, Red Bank, NJ 07701. Its phone number is 732-576-1671. Its website is rdmcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}