Oak Brook, IL Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Ruggaard & Associates
Team
Firm-wide stats for Ruggaard & Associates
About
Ruggaard & Associates serves individual clients, including high-net-worth households, as well as pension and corporate retirement plans, offering discretionary and non‑discretionary portfolio management, retirement plan advisory, comprehensive financial planning and tax preparation services. The firm develops personal investment policies through client interviews and implements portfolios across mutual funds, ETFs and individual securities consistent with stated objectives and constraints.
The firm applies a blend of fundamental, technical, quantitative and qualitative analysis and uses a range of strategies from long‑term buy‑and‑hold to shorter‑term trading, including the use of options (covered calls and spreads), short sales and margin where appropriate. Accounts are monitored on an ongoing basis with formal reviews at least quarterly and reporting provided to clients in addition to custodian statements.
A relatively uncommon feature for a team firm is that Ruggaard & Associates discloses accepting performance‑based fees for at least one qualified client and describes safeguards—such as an agreed investment universe and risk constraints—to address the attendant conflicts of interest. The firm also combines investment management with in‑house tax preparation and relies on institutional custody and platform services from major custodians, arrangements that the brochure notes can provide operational benefits while creating potential conflicts the firm seeks to manage.
Based on Ruggaard & Associates
Location
1200 Harger Road, Ste 222
Oak Brook IL 60523
Advisors at this office
2
Advisors at this office
Tom S
Series 66
Oak Brook, IL
Ruggaard & Associates
Tom Sleeter is a financial advisor with Ruggaard & Associates, holding a Series 66 credential and over 27 years of industry experience. His career includes roles at LPL Financial and Cetera Advisor Networks LLC, and he has been involved with multiple family farming enterprises since the early 1990s. Outside of financial advising, he serves as a board member for two nonprofit organizations related to a recreational island and a rural cemetery. Ruggaard & Associates provides investment management and financial planning services to individual clients, including high-net-worth households, as well as pension and corporate retirement plans. The firm employs a variety of analytical approaches and strategies tailored to client objectives, combines investment management with tax preparation, and offers quarterly reviews and detailed reporting.
Janis S
CFP®, Series 63, Series 65
Oak Brook, IL
Ruggaard & Associates
Janis Sleeter is a CFP® professional with over 31 years of industry experience. She is currently with Ruggaard & Associates and has previous experience at LPL Financial, Cetera Advisor Networks LLC, and Total Clarity Wealth Management, Inc. Outside of financial advising, she holds leadership roles in family farming businesses, including Sleeter Farms Nebraska, Inc. and Sleeter Family Farm Corporation. Ruggaard & Associates is a team-based SEC-registered investment adviser serving individuals, including high-net-worth clients, as well as pension and profit-sharing plans. The firm employs a multi-method investment process and offers a range of strategies tailored to clients’ objectives, with ongoing account monitoring and periodic reporting.
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