Rogue Advisors, LLC

Rogue Advisors is a fee-only registered investment adviser that manages approximately $80.0 million in discretionary assets for about 154 clients through a two-advisor team. The firm serves individuals (including high-net-worth clients), retirement plans, trusts, estates, charitable institutions, and business entities with investment management, financial consulting, and planning services.

The firm typically implements diversified, passive model portfolios built mainly from index mutual funds and ETFs, and it generally manages client accounts on a discretionary basis while accommodating client-directed, non-modeled holdings when requested. In addition to standard portfolio management and project-based consulting, Rogue Advisors provides ERISA plan services—acting as either a 3(21) advisor or a 3(38) discretionary manager—and offers participant education and one-on-one participant advice with ongoing monitoring and reporting.

Noteworthy for a small, supported firm, leadership recently transitioned to a principal who joined the firm in 2021 and now also serves as the firm’s chief compliance officer, reflecting a recent ownership change in an advisor-led practice established in 2004. The firm also discloses use of custodial platforms (primarily Axos Advisor Services and Altruist) and receipt of technology and practice-support benefits from its primary custodian; the firm notes these benefits can create potential conflicts of interest and describes procedures to address them.