Rgt Capital Management, Ltd. (Dallas)

Name: Rgt Capital Management, Ltd.
Address: 5950 Sherry Lane, Ste. 600, Dallas, TX, 75225
Telephone: 214-360-7000

Rgt Capital Management, Ltd. is a large advisory firm based in Dallas. It manages $4.03 billion of regulatory assets for 3,884 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Colorado, and 9 other states.

Rgt Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, selection of other advisers, and bill processing services, divorce consulting. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Rgt Capital Management: assets under management

The assets under management (AUM) of Rgt Capital Management, Ltd. is $4.03 billion. The firm's AUM has grown by 534% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.58 billion in discretionary accounts and $445.18 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.02 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.2 million.

Rgt Capital Management has custody of $2.44 billion in cash and securities for 399 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 61% of the total AUM. The second-largest asset type is state and local bonds, which make up 18% of the firm’s portfolio. Investments in pooled investment vehicles form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rgt Capital Management, Ltd. for their services and products based on a percentage of assets under management, hourly charges, and fixed 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 Rgt Capital Management serves?

The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of Rgt Capital Management is high net worth individuals with 422 clients and $3.78 billion of assets under management. Among the 9 most similar advisory firms, Rgt Capital Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $4.01 billion for 540 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rgt Capital Management also advises several private funds. Namely, one real estate fund and four private equity funds. The minimum investment commitment required of non-related persons ranges from $150,000 to $250,000.

Careers at Rgt Capital Management, Ltd.

The company employs 57 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 21 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 compensates 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
Mark Charles Griege	General partner	1 Mar 1989	25% - 50%	1552428
Charles Edward Thoele	General partner and cco	1 Feb 1991	Other	1305006
Ash Narayan	Limited partner	1 Feb 1997	Other	2630251
Joseph Patrick Nolan	Limited partner	1 Jan 2002	Other	4649846
Llc Rgt Capital Gp	General partner	1 Jan 2005	Other	17522787864
Todd Richard Amacher	Limited partner	1 Jan 2008	Other	5487056
Ashley Davis Blanchette	Partner	1 Jan 2009	Other	5672279
Gregory Thomas Bone	Limited partner	1 Jan 2011	Other	2852444
Michael James Shockley	Limited partner	1 Jan 2011	Other	1932325
Ashley Davis Blanchette	Limited partner	1 Jan 2011	Other	5672279
Timothy Michael Weber	Managing director	1 Mar 2012	Other	1647478
Timothy Michael Weber	Limited partner	1 Jan 2013	Other	1647478
Matthew Joseph Krauss	Limited partner	1 Jan 2013	Other	6171004
Stanley Sangwon Bae	Limited partner	1 Jan 2013	Other	2420510
Kenneth Mark Mcclanahan	Limited partner	1 Jan 2013	Other	1349995
John Alexander Jr. Bricker	Limited partner	1 Jan 2014	Other	4371527
Ashley Davis Blanchette	Chief operating officer and limited partner	1 Jan 2014	Other	5672279
Stephen Craig Raffaele	Chief financial officer	1 Jan 2015	Other	1900825
Joanna Christine Jadlow	Limited partner	1 Jan 2015	Other	4793164
Tiffany Lynn Ramirez	Chief compliance officer	1 Jul 2015	Other	6017485
Colleen Marie Affeldt	Limited partner	1 Jan 2016	Other	1620219
Jeremy Joseph Hudson	Limited partner	1 Feb 2016	Other	4337271
James Spottswood Tardy	Managing director	1 May 2016	Other	2530322
Peter Alan Lodwick	General counsel and limited partner	1 Oct 2016	Other	6732853
Anne K Hill	Chief compliance officer	1 Jun 2017	Other	4612097
John Shelton Cox	Chief operating officer	1 Jul 2017	Other	6840914

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Charles Edward Thoele	Member	1 Jan 2005	50% - 75%	1305006
Mark Charles Griege	Member	1 Jan 2005	50% - 75%	1552428

Based in Dallas

The principal office where Rgt Capital Management, Ltd. performs its advisory services is located at 5950 Sherry Lane, Ste. 600, Dallas, TX 75225, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-360-7000 or by fax 214-360-7010. The normal business hours are 8:00 a.m-5:30 p.m. on Monday - Friday. You can find more information about the New York firm at rgtnet.com.