Asset manager
Raffa Investment Advisers
Raffa Wealth Management LLC · SEC-registered investment adviser · CRD 136971 · SEC 801-67687
At a glance
Raffa Investment Advisers is an SEC-registered investment adviser based in United States, with $1.7 billion in regulatory assets under management as of its Form ADV filed September 24, 2026. Its largest client group by assets is charitable organizations, and it reports 71 individual clients. By Form ADV it is a asset manager, ranked 1,120th of 3,218 asset managers and 3,982nd of 17,210 SEC-registered advisers by assets.
raffaadvisers.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.7B
- Rank among asset managers
- #1,120 of 3,218
- Rank among all SEC RIAs
- #3,982 of 17,210
- Individual clients
- 71
- High-net-worth clients
- 50
- Accounts
- 708
- Discretionary
- 89% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 6
Owners and executives on its Form ADV
- Dennis P. GogartyManaging Member
- Thomas J. RaffaMember
- Dennis P. GogartyChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Charitable organizations | 153 | $1.1B | 67% |
| High-net-worth individuals | 50 | $313M | 18% |
| Pension and profit sharing plans | 26 | $236M | 14% |
| Individuals | 21 | $11M | <1% |
| Corporations or other businesses | 2 | $8M | <1% |
Disciplinary disclosures
Raffa Investment Advisers reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗raffaadvisers.com ↗
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The full record on Raffa Investment Advisers
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 934 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Raffa Investment Advisers manage?
Raffa Investment Advisers reports $1.7 billion in regulatory assets under management across 708 accounts, 89% of it on a discretionary basis, on its Form ADV filed September 24, 2026.
What kind of firm is Raffa Investment Advisers?
Raffa Investment Advisers is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Raffa Investment Advisers’s clients?
By assets, its largest client types are charitable organizations ($1.1 billion, 153 clients); high-net-worth individuals ($313 million, 50 clients); pension and profit sharing plans ($236 million, 26 clients).
Does Raffa Investment Advisers have any disciplinary history?
Raffa Investment Advisers reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Raffa Investment Advisers’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-24), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →