Rogers Investment Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$33,453,200
Clients
5
100% high-net-worth
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
5
LowAverage account size
$6,690,640
About
Rogers Investment Advisors, LLC is a state-registered, single-advisor investment adviser that provides investment management, pension plan consulting, financial planning, tax preparation and administrative/bookkeeping and bill‑payment services. The firm reports approximately $70.6 million in discretionary assets under management for a small number of clients, including individuals, trusts, endowments and pension plans.
RIA generally pursues a highly diversified investment approach that can include domestic and international equities, fixed income, mutual funds, ETFs, separately managed accounts and—if requested—real estate and private loans, and it may use derivatives, futures and other commodity interests as part of its strategies. The firm offers both discretionary portfolio management and non‑discretionary consulting (notably for pension plans), conducts regular performance reviews and monitors Independent Managers when they are engaged.
Distinctive features in the brochure include an explicit pension‑consulting role in which RIA may act as a co‑fiduciary, prepare and monitor investment policy statements and advise plan sponsors and committees, and the firm’s willingness to work with institutional clients in addition to individual accounts. The brochure also discloses potential use of commodity interests and derivatives while noting RIA is not registered as a commodity pool operator or trading adviser and describes in‑house tax preparation and bill‑payment/bookkeeping services, a combination of activities that is less common for a solo independent adviser.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Tax-loss harvesting
Occupation focus
Founder/Business Owner
Executive
Fee options
Fixed fees for tax preparation services (amount depends on complexity); negotiable fees for administrative and bookkeeping services
$400 per hour for financial planning services
Account minimum: $100,000 Minimum fee: Annual minimum fee applies (amount not specified) Fee-only: Fixed fees for financial planning usually range from $5,000 to $15,000 depending on complexity
Main office location
Rogers Investment Advisors, LLC
2975 Bowers Ave., Suite 107
Santa Clara CA 95051, United States
Number of offices
1
Most active in
Rogers Investment Advisors, LLC 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 active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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