R
RAJS Funds
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
RAJS Funds is a registered investment adviser that offers portfolio management for pooled vehicles and institutional clients and provides financial planning and asset-management services for other accounts. Services include both discretionary and non-discretionary portfolio management as well as project-based, fixed, or hourly financial planning engagements.
The firm emphasizes diversified, asset-allocation strategies implemented through mutual funds, ETFs and other securities, with approaches that can include dollar-cost averaging, technical analysis and both long- and short-term purchases tailored to client objectives. While RAJS uses asset-based compensation common in its peer group, it also offers hourly and fixed-fee planning arrangements and accepts performance-based compensation for certain pooled vehicles.
RAJS’s business model is notable for the principal’s FINRA registrations and the firm’s affiliation with a broker-dealer, meaning associated persons may receive commission and insurance compensation in addition to advisory fees—a disclosure the brochure identifies as a potential conflict of interest. The firm also reported no client assets under management as of December 31, 2019, and discloses additional revenue relationships with service providers and conference sponsors that prospective clients may want to consider when evaluating implementation and conflicts.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Fee options
Fixed fees for financial planning negotiable and based on agreement
$0 - $100,000: 2.00% annually $100,001 - $500,000: 1.50% annually $500,001 - $1,000,000: 1.25% annually $1,000,001 - $5,000,000: 1.10% annually $5,000,001+: 1.00% annually
Commissions earned by registered representatives and insurance commissions separate and in addition to advisory fees
Up to $350 per hour for financial planning and consultation services
20% of capital gains or appreciation on client assets (performance-based fee)
Account minimum: $10,000 to $100,000 (generally, with waivers possible) Fee-only: Hourly rate up to $350 per hour; fixed fees negotiable; financial planning fees negotiable and based on agreement
Main office location
RAJS Funds
Fremont CA, United States
Number of offices
1
Most active in
RAJS Funds has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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