Rioux & Company, LLC

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Client assets under management

$20,463,947

Clients

11% high-net-worth

Advisors

of 3 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Low

Average account size

$288,225

About

Rioux & Company LLC provides discretionary portfolio management to individual and high-net-worth clients as well as joint accounts, qualified retirement plans, trusts, foundations, and charitable organizations. The firm also makes separate consulting and portfolio-review services available to clients on a prepaid or hourly basis upon request.

The adviser constructs portfolios using a broad set of instruments — including equities, fixed income, mutual funds and ETFs, ADRs and warrants — and employs derivative strategies when appropriate, such as option writing, margin trading and short sales; client consent is required for margin, short sale or uncovered option activity. Investment decisions are informed by modern portfolio theory plus fundamental and technical analysis, and accounts are reviewed at least twice a year with more frequent monitoring during periods of market stress.

As a single-advisor independent RIA managing roughly $20.5 million for about 71 clients, the firm notes it dedicates concentrated attention and resources to a limited number of relationships and draws on decades of industry experience. The brochure discloses several operational distinctions: the firm does not accept soft-dollar or other outside economic benefits, does not vote client proxies, and recommends custodians or broker-dealers only with client consent.

Client services

Portfolio management

Expertise

Options & derivatives strategies Concentrated stock management

Fee options

Fixed

Portfolio review fees: Up to $100,000 = $350; $100,001-$200,000 = $825; $200,001-$300,000 = $1,500; Over $300,000 = $3,000

Percentage

$0 - $100,000: 1.5% annually plus expenses $100,000+: 1.0% annually plus expenses

Project-based

Starts at $175 per hour plus expenses

Other

Account minimum: $100,000

Main office location

Rioux & Company, LLC

Burlington CT, United States

Number of offices

Most active in

Connecticut

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

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.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 860-589-8754

Advisors at this firm

David R

Series 63, Series 65

Burlington, CT

Rioux & Company, LLC

David Rioux is the sole advisor at Rioux & Company, LLC, an independent firm based in Burlington, CT. He holds Series 63 and Series 65 licenses and has 28 years of industry experience, having led his firm since 1996. Rioux & Company LLC provides discretionary portfolio management to individuals, high-net-worth clients, qualified retirement plans, trusts, foundations, and charitable organizations. The firm constructs portfolios using a range of instruments and employs derivative strategies with client consent, applying modern portfolio theory alongside fundamental and technical analysis.

Options & derivatives strategies Concentrated stock management

Jack N

Series 65

Burlington, CT

Rioux & Company, LLC

Jack Nicklis is a CPA and financial advisor with Rioux & Company, LLC, an independent firm based in Burlington, CT. He has 13 years of industry experience and has operated a sole proprietorship in public accounting since 2013. Rioux & Company provides discretionary portfolio management to individual and high-net-worth clients, as well as qualified retirement plans, trusts, foundations, and charitable organizations. The firm employs a range of investment instruments and derivative strategies, applying modern portfolio theory alongside fundamental and technical analysis, with client accounts reviewed at least twice annually.

Options & derivatives strategies Concentrated stock management

Pablo R

Series 63, Series 65

Burlington, CT

Rioux & Company, LLC

Pablo Rossetti is a financial advisor at Rioux & Company, LLC with 16 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Rioux & Company since 2007. Outside of advisory work, he manages two multifamily buildings as a property manager. Rioux & Company provides discretionary portfolio management to individuals, high-net-worth clients, retirement plans, trusts, foundations, and charitable organizations. The firm uses a diversified investment approach incorporating equities, fixed income, mutual funds, ETFs, and derivative strategies, with portfolio reviews at least biannually.

Options & derivatives strategies Concentrated stock management

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