# RGA Investment Advisors, LLC

> RGA Investment Advisors, LLC is an SEC-registered investment advisory firm in Great Neck, NY, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 21, 2026.

- CRD: 149171
- Filed as: RGA INVESTMENT ADVISORS, LLC
- Also doing business as: SOUNDVIEW PRIVATE WEALTH LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Great Neck, NY
- Filing period: October 2026
- Form ADV filing dated: July 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/149171
- AdvisorCensus page: https://advisorcensus.com/firm/rga-investment-advisors-llc-great-neck-ny-149171

## Quick answers

**How is RGA Investment Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), RGA Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees.

**How much does RGA Investment Advisors, LLC charge?**
Its Form ADV Part 2A brochure dated July 21, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states); Flat fee: up to $10,000 (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is RGA Investment Advisors, LLC located?**
RGA Investment Advisors, LLC's principal office is in Great Neck, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is RGA Investment Advisors, LLC registered with the SEC or a state?**
RGA Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 149171.

**How much does RGA Investment Advisors, LLC manage?**
RGA Investment Advisors, LLC reports $101,088,230 in regulatory assets under management in its Form ADV filing dated July 21, 2026 (100% discretionary).

**How have RGA Investment Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for RGA Investment Advisors, LLC: Regulatory assets under management: $106,727,176 in the October 2021 data and $101,088,230 in the October 2026 data, down 5%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does RGA Investment Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (80); high net worth individuals (19); pooled investment vehicles (other than investment companies and business development companies) (1).

**Which custodians does RGA Investment Advisors, LLC use?**
RGA Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does RGA Investment Advisors, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/149171

**Does RGA Investment Advisors, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated July 21, 2026 says: "RGAIA generally requires a minimum relationship size of $500,000 to effectively implement its investment process. However, RGAIA may waive this minimum at its sole discretion."

**What changed in RGA Investment Advisors, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 3 to 4. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated July 21, 2026)

- Asset-based fee: up to 2% of assets a year (the maximum the brochure states)

> Wealth management fees range up to 2.00% annually based on several factors, including: the scope and complexity of the services to be provided; the level of assets to be managed; and the overall relationship with the Advisor.

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> RGAIA generally requires a minimum relationship size of $500,000 to effectively implement its investment process. However, RGAIA may waive this minimum at its sole discretion.

- Flat fee: up to $10,000 (financial planning services)

> RGAIA offers financial planning services for a fixed fee ranging up to $10,000 per engagement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $101,088,230
- Discretionary: $101,088,230
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 80 | $31,111,175 |
| High net worth individuals | 19 | $53,408,689 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $16,568,366 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2021 (5 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, MN, NJ, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Greenwich, CT

### Websites listed on Form ADV (Item 1.I)
- [rgaia.com](https://rgaia.com)
- [soundviewep.com](https://soundviewep.com)
- [svpwealth.com](https://svpwealth.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $106,727,176 | 3 | July 22, 2021 |
| October 2022 | $115,665,055 | 3 | September 6, 2022 |
| October 2023 | $74,868,049 | 3 | September 6, 2023 |
| October 2024 | $90,764,998 | 3 | April 8, 2024 |
| October 2025 | $107,310,593 | 3 | June 27, 2025 |
| October 2026 | $101,088,230 | 4 | July 21, 2026 |

Regulatory assets under management: $106,727,176 in the October 2021 data and $101,088,230 in the October 2026 data, down 5%.
Total employees: 3 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 3 to 4.
- Updated its list of owners and control persons (Schedule A).

### January 2026
- Added the business name Soundview Private Wealth LLC.
- Added an office in Greenwich, CT.
- No longer registered or notice-filed in CO, IL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. RGA Investment Advisors, LLC (CRD 149171): Form ADV filing data as of October 2026.