{
  "crd_number": 329132,
  "slug": "rand-group-financial-329132",
  "primary_business_name": "RAND GROUP FINANCIAL",
  "legal_name": "RAND GROUP FINANCIAL LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "TERMREQUEST",
  "registration_date": null,
  "years_registered": null,
  "period": "2026-10-01",
  "filing_date": "2026-09-15",
  "carried_forward": false,
  "raum_total": 80000000.0,
  "raum_discretionary": 80000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 2000000.0,
      "count": 9
    },
    "high_net_worth_individuals": {
      "raum": 78000000.0,
      "count": 33
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329132",
  "disclosure_items": [
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/rand-group-financial-329132",
  "display_name": "Rand Group Financial",
  "summary": "Rand Group Financial is a state-registered investment advisory firm, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 15, 2026.",
  "citation": "AdvisorCensus. Rand Group Financial (CRD 329132): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Rand Group Financial compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rand Group Financial reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Rand Group Financial registered with the SEC or a state?",
      "a": "Rand Group Financial is a state-registered investment advisory firm. Status as filed: TERMREQUEST. CRD 329132."
    },
    {
      "q": "How much does Rand Group Financial manage?",
      "a": "Rand Group Financial reports $80,000,000 in regulatory assets under management in its Form ADV filing dated September 15, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Rand Group Financial serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (33); individuals (other than high net worth individuals) (9)."
    },
    {
      "q": "Does Rand Group Financial report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/329132"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/rand-group-financial-329132.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 2000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 33,
      "fewer_than_5": false,
      "raum": 78000000.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329132",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}