Rubicon Investment Management & Analytics

Rubicon provides discretionary and non-discretionary investment management, trading, and analytics for U.S. clients including high-net-worth individuals, trusts, retirement plans, charitable organizations, and institutional entities. The firm’s brochure describes an equity-focused practice and reports total managed assets of approximately $13,990 as of March 2023.

Its investment approach emphasizes proprietary quantitative and technical methods — the brochure details a CANTATA framework (Current earnings, Annual earnings, New highs, Technical Analysis, and Timing Assistance) — and favors individual securities with rules-based trade controls such as stops and trailing stops. Accounts are actively managed with a stated preference for shorter-term gains, and the firm says it can operate on discretionary or non-discretionary terms and may use performance-based arrangements for qualified investors while applying procedures intended to treat accounts equitably.

Noteworthy characteristics relative to peers include an explicit focus on market timing and active short-term trading, and the provision of market/portfolio updates beyond standard custodial statements. The brochure also discloses a 2016 undertaking with the Texas State Securities Board and states the firm does not take custody of client assets and currently does not charge fees despite being structured to accept asset-based and performance-based compensation.