Wealth manager, independent · Stamford, CT
RPO LLC
SEC-registered investment adviser · CRD 318296 · SEC 801-123109
At a glance
RPO LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $372 million in regulatory assets under management as of its Form ADV filed April 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 6 individual clients. By Form ADV it is a wealth manager, ranked 3,729th of 8,915 wealth managers and 9,136th of 17,210 SEC-registered advisers by assets.
Main office 203-485-8800As filed on Form ADV
- Regulatory AUM
- $372M
- Rank among wealth managers
- #3,729 of 8,915
- Rank among all SEC RIAs
- #9,136 of 17,210
- Rank in Connecticut
- #344 of 507
- Individual clients
- 6
- High-net-worth clients
- 6
- Accounts
- 8
- Discretionary
- 100% of AUM
- Employees
- 6
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- John D. RogersManaging Member
- Stephen E. RogersChief Compliance Officer / Chief Operating Officer
- Zuzana (. GuggenheimerChief Financial Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 6 | $198M | 53% |
| Pooled investment vehicles | 2 | $174M | 47% |
Private funds
RPO LLC reports 1 private funds with $120M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
RPO LLC 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 pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗
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The full record on RPO LLC
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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 6,203 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
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does RPO LLC manage?
RPO LLC reports $372 million in regulatory assets under management across 8 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 30, 2026.
What kind of firm is RPO LLC?
RPO LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are RPO LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($198 million, 6 clients); pooled investment vehicles ($174 million, 2 clients).
Does RPO LLC manage private funds?
Yes. It reports 1 private funds with $120 million in gross assets, including hedge funds.
Does RPO LLC have any disciplinary history?
RPO LLC 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 RPO LLC’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 (2026-04-30), 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 →