{"url":"https://nivawealth.com/firms/rs-asset-management-157768","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157768","regulatoryAum":107201521,"crd":"157768","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1627710","suffix":null,"lastName":"ROARK","firstName":"WILLIAM","middleName":"EDDY"},{"crd":"4080724","suffix":null,"lastName":"SOULVIE","firstName":"SEAN","middleName":"ALLEN"}],"total":2,"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":"2021-01-27","regulatoryAum":103404361,"clients":212,"employees":2,"offices":1},{"filedOn":"2022-01-19","regulatoryAum":101457937,"clients":409,"employees":2,"offices":1},{"filedOn":"2023-01-17","regulatoryAum":114872438,"clients":458,"employees":2,"offices":1},{"filedOn":"2024-01-29","regulatoryAum":129438495,"clients":247,"employees":2,"offices":1},{"filedOn":"2025-01-23","regulatoryAum":150188314,"clients":285,"employees":2,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":107201521,"clients":251,"employees":2,"offices":1}],"secFileNumber":"801-79114","legalName":"RS Asset Management, LLC","displayName":"RS Asset Management","slug":"rs-asset-management-157768","website":"https://rsassetmanagement.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/157768/54af73f1d7fbe460-r1.webp","tone":"light","width":590,"height":200,"sourceUrl":"https://rsassetmanagement.com/","sourceLabel":"RS Asset Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5731 Silverstone Ter, Suite 280","city":"Colorado Springs","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80919"},"tradeNames":[],"registration":{"secApproved":"29 January 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":427097.69322709163,"staff":{"employees":2,"advisory":2,"brokerDealerReps":2,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":107201521,"discretionary":107201521,"discretionaryAccounts":251,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":107201521,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":168,"regulatoryAum":16078459},{"label":"High-net-worth individuals","clients":83,"regulatoryAum":91123062}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013663","versionId":1013663,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-03","documentName":"RSAM - ADV PART 2A: FIRM BROCHURE","fee_rate_low":1,"fee_rate_high":2,"fee_negotiable":null,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Financial planning and consulting is billed hourly at $350, or as a flat fee generally from $1,500 to $10,000, with a retainer of 50% of the fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013663","versionId":1013663,"submittedOn":"2026-03-03","documentName":"RSAM - ADV PART 2A: FIRM BROCHURE"},{"role":"other","program":"Pension consulting services","summary":"Pension consulting fees range from 1.00% to 2.00% of assets under management, negotiated with the plan sponsor or named fiduciary case by case.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013663","versionId":1013663,"submittedOn":"2026-03-03","documentName":"RSAM - ADV PART 2A: FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:20:26.455441+00:00","documents":[{"name":"RSAM - ADV PART 2A: FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013663","versionId":1013663,"submittedOn":"2026-03-03"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013664","versionId":1013664,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Boston, MA","smaAssets":107201521}],"custodyNote":"RS Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Roark","title":"Managing Member and Chief Compliance Officer","crd":"1627710"},{"name":"Sean Soulvie","title":"Managing Member","crd":"4080724"}],"ownership":[{"label":"Sean Soulvie","detail":"Managing member in the 25% to 50% ownership band and a control person, since June 2011."},{"label":"William Roark","detail":"Managing member and chief compliance officer in the 50% to 75% ownership band and a control person, since June 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"5731 Silverstone Ter, Suite 280","city":"Colorado Springs","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"719-219-8444","stateRegisteredReps":2,"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"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"U.S. government/agency bonds","percent":39},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Cash and cash equivalents","percent":23}],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157768/PDF/157768.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013663","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 RS Asset Management have?","answer":"RS Asset Management has 251 clients and manages $107 million for them, as of March 2026. They include 168 individual clients and 83 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RS Asset Management offer?","answer":"RS Asset Management provides financial planning and portfolio management for individuals and small businesses.","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 RS Asset Management charge?","answer":"RS Asset Management charges 1.00%–2.00% a year for its Comprehensive Portfolio Management. The fee is billed in advance and requires an account of at least $100,000.","source":"RSAM - ADV PART 2A: FIRM BROCHURE, filed 3 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does RS Asset Management use?","answer":"RS Asset Management’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $107M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does RS Asset Management have?","answer":"RS Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","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 RS Asset Management invest in?","answer":"At the end of its last fiscal year, RS Asset Management’s separately managed accounts held 39% U.S. government and agency bonds, 27% registered funds (mutual funds, ETFs, BDCs), 23% cash and equivalents, 10% exchange-traded equities and 1% derivatives.","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 RS Asset Management have a minimum investment?","answer":"Yes, RS Asset Management’s minimum account size for its Comprehensive Portfolio Management is $100K.","source":"RSAM - ADV PART 2A: FIRM BROCHURE, filed 3 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns RS Asset Management?","answer":"RS Asset Management’s direct owners are Sean Soulvie (25% to 50%) and William Roark (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RS Asset Management get paid?","answer":"RS Asset Management 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 RS Asset Management?","answer":"RS Asset Management’s main office is at 5731 Silverstone Ter, Suite 280, Colorado Springs, CO 80919. Its phone number is 719-219-8444. Its website is rsassetmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 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."}