Rubey & Rust Capital Management, LLC (Alamo)

Rubey & Rust Capital Management, LLC is a large advisory firm based in Alamo. It manages $152.37 million of regulatory assets for 369 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California and Oregon.

Rubey & Rust Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rubey & Rust Capital Management: assets under management

The assets under management (AUM) of Rubey & Rust Capital Management, LLC is $152.37 million. The firm's AUM has grown by 10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $78.27 million in discretionary accounts and $74.1 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $214.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $18.53 million.

Rubey & Rust Capital Management has custody of $86.37 million in cash and securities for 138 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 65% of the total AUM. The second-largest asset type is investment and business development companies, which make up 29% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rubey & Rust Capital Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rubey & Rust Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Rubey & Rust Capital Management is individuals with 124 clients and $58.6 million of assets under management. Among the 9 most similar advisory firms, Rubey & Rust Capital Management has the 5th highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $78 million for 134 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rubey & Rust Capital Management doesn't advise any private funds.

Careers at Rubey & Rust Capital Management, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Margaret Rubey Rust	Managing member & chief compliance officer	1 Mar 2016	75% - 100%	2282941

Based in Alamo

The principal office where Rubey & Rust Capital Management, LLC performs its advisory services is located at 2528 Alamo Country Circle, Alamo, CA 94507, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 925-933-1806 or by fax 925-944-4850. The normal business hours are by appointment on Monday - Friday.