{"url":"https://nivawealth.com/firms/rigden-enterprises-326930","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/326930","regulatoryAum":168879166,"crd":"326930","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3051216","suffix":null,"lastName":"CONNOLLY","firstName":"NEIL","middleName":"JAMES"},{"crd":"7209551","suffix":null,"lastName":"Crawford","firstName":"Jared","middleName":"Scott"},{"crd":"6650279","suffix":null,"lastName":"Dombrowski","firstName":"Richard","middleName":"Stanley"},{"crd":"7331556","suffix":null,"lastName":"Dyer-Wolfe","firstName":"Emily","middleName":"Joy"},{"crd":"5588631","suffix":null,"lastName":"RIGDEN","firstName":"JOSHUA","middleName":"AUSTIN"},{"crd":"4986685","suffix":null,"lastName":"WEST","firstName":"CHRISTIAN","middleName":"JOSEPH"}],"total":6,"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":"2025-07-01","regulatoryAum":104069908,"clients":205,"employees":4,"offices":3},{"filedOn":"2026-06-08","regulatoryAum":168879166,"clients":334,"employees":6,"offices":4}],"secFileNumber":"801-132101","legalName":"Rigden Enterprises","displayName":"Rigden Enterprises","slug":"rigden-enterprises-326930","website":"https://rigdencapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/rigdencapital","founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"384 Inverness Pkwy, Suite 240","city":"Englewood","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80112"},"tradeNames":[],"registration":{"secApproved":"6 March 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":486781.92097264435,"staff":{"employees":6,"advisory":6,"brokerDealerReps":0,"insuranceAgents":1,"promoters":1},"aum":{"regulatory":168879166,"discretionary":168879166,"discretionaryAccounts":951,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":42},"clientTypes":[{"label":"Individuals (other than HNW)","clients":291,"regulatoryAum":69055307},{"label":"High-net-worth individuals","clients":38,"regulatoryAum":91095945},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":8727914}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-06-08","documentName":"FORM ADV PART 2A & 2B","fee_rate_low":0.6,"fee_rate_high":1.1,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA Plan Services","summary":"Annual fees for ERISA plan services are based on the market value of included assets and will not exceed 0.50%; the fee is negotiable and may be a flat fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"submittedOn":"2026-06-08","documentName":"FORM ADV PART 2A & 2B"},{"role":"other","program":"Hourly Consulting","summary":"Consulting is billed at $300 per hour, with a minimum of two hours, for clients previously served by another planning service.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"submittedOn":"2026-06-08","documentName":"FORM ADV PART 2A & 2B"},{"role":"other","program":"One-Time Financial Planning","summary":"One-time financial planning is a negotiable fixed fee between $1,500 and $5,000, due in advance on signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"submittedOn":"2026-06-08","documentName":"FORM ADV PART 2A & 2B"},{"role":"other","program":"Ongoing Financial Planning","summary":"Ongoing planning is a $2,000 upfront fee (10 hours of initial plan work) plus a monthly fee of $350, billed in advance; extra hours are $300 each.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"submittedOn":"2026-06-08","documentName":"FORM ADV PART 2A & 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:31:25.93112+00:00","documents":[{"name":"FORM ADV PART 2A & 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","versionId":1047564,"submittedOn":"2026-06-08"}]},"custodians":[{"name":"MTG, LLC","shortName":"MTG","location":"New York, NY","smaAssets":16876995},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":117679120},{"name":"Apex Clearing Corporation","shortName":"Apex Clearing","location":"Dallas, TX","smaAssets":21470894}],"custodyNote":"Rigden Enterprises has custody of $10M for 20 clients.","otherCustodians":[],"leadership":[{"name":"Joshua Rigden","title":"Managing Member/CCO","crd":"5588631"},{"name":"Christian West","title":"Managing Member","crd":"4986685"}],"ownership":[{"label":"Joshua Rigden","detail":"Managing member/cco in the 50% to 75% ownership band and a control person, since February 2025."},{"label":"Christian West","detail":"Managing member in the 25% to 50% ownership band and a control person, since March 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":2},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"384 Inverness Pkwy, Suite 240","city":"Englewood","headquarters":true}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"2800 W 21st Street","city":"Erie"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-351-1618","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"8 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/326930/PDF/326930.pdf","brochureDate":"8 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047564","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 Rigden Enterprises have?","answer":"Rigden Enterprises has 334 clients and manages $169 million for them, as of June 2026. They include 291 individual clients, 38 high-net-worth individuals, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 8 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rigden Enterprises offer?","answer":"Rigden Enterprises provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Rigden Enterprises charge?","answer":"Rigden Enterprises charges 0.60%–1.10% a year for its Asset Management. The fee is billed in advance or in arrears, is negotiable and requires an account of at least $250,000.","source":"FORM ADV PART 2A & 2B, filed 8 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rigden Enterprises use?","answer":"Rigden Enterprises’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $118M, Apex Clearing Corporation (Dallas, TX), with $21.5M and MTG, LLC (New York, NY), with $16.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rigden Enterprises have?","answer":"Rigden Enterprises has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 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 Rigden Enterprises invest in?","answer":"At the end of its last fiscal year, Rigden Enterprises’ separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities, 5% state and local bonds, 2% U.S. government and agency bonds, 2% cash and equivalents, 1% non-exchange-traded equities and 1% investment grade corporate 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":"Does Rigden Enterprises have a minimum investment?","answer":"Yes, Rigden Enterprises’ minimum account size for its Asset Management is $250K.","source":"FORM ADV PART 2A & 2B, filed 8 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Rigden Enterprises?","answer":"Rigden Enterprises’ direct owners are Joshua Rigden (50% to 75%) and Christian West (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 8 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rigden Enterprises get paid?","answer":"Rigden Enterprises is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Rigden Enterprises?","answer":"Rigden Enterprises’ main office is at 384 Inverness Pkwy, Suite 240, Englewood, CO 80112. Its phone number is 303-351-1618. Its website is rigdencapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 8 June 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."}