# Rand Group Financial

> 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.

- CRD: 329132
- Filed as: RAND GROUP FINANCIAL
- Legal name: Rand Group Financial LLC
- Registration: State-registered investment adviser (status as filed: TERMREQUEST)
- Filing period: October 2026
- Form ADV filing dated: September 15, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/329132
- AdvisorCensus page: https://advisorcensus.com/firm/rand-group-financial-329132

## Quick answers

**How is Rand Group Financial compensated?**
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.

**Is Rand Group Financial registered with the SEC or a state?**
Rand Group Financial is a state-registered investment advisory firm. Status as filed: TERMREQUEST. CRD 329132.

**How much does Rand Group Financial manage?**
Rand Group Financial reports $80,000,000 in regulatory assets under management in its Form ADV filing dated September 15, 2026 (100% discretionary).

**What types of clients does Rand Group Financial serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (33); individuals (other than high net worth individuals) (9).

**Does Rand Group Financial report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $80,000,000
- Discretionary: $80,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 9 | $2,000,000 |
| High net worth individuals | 33 | $78,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: Not reported
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(1): 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?
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/329132

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rand Group Financial (CRD 329132): Form ADV filing data as of October 2026.