RJJ Pasadena Securities, Inc.

RJJ Pasadena Securities, Inc. serves individual investors (including high-net-worth and non‑HNW clients), retirement plan fiduciaries, charitable organizations, and other business entities, providing discretionary investment management through separately managed accounts and a sponsored wrap fee program. As of June 30, 2026 the firm reported $115,223,002 in regulatory assets under management and manages accounts for roughly 165 clients through two primary advisors.

The firm describes a disciplined, conservative investment process that typically favors longer holding periods but employs a broad set of strategies and instruments to meet client objectives. In practice RJJ uses equities, fixed income, ETFs and options and may engage in margin transactions, short sales, and other derivatives strategies in client separately managed accounts depending on suitability and client guidelines.

RJJ’s business includes a few features that are less common among peers: it sponsors a wrap fee program, uses a held‑away participant account management platform (Pontera) to manage 401(k)/defined contribution participant accounts on a discretionary basis, and permits borrowing and derivatives activity within separately managed accounts. The firm also discloses several historical regulatory and disciplinary events, including arbitration and state enforcement matters and a 2025 consent order regarding annual certification and fee disclosure (settled for $21,000), and has applied for SEC registration.