{
  "crd_number": 153428,
  "slug": "rja-asset-management-llc-stamford-ct-153428",
  "primary_business_name": "RJA ASSET MANAGEMENT LLC",
  "legal_name": "RJA ASSET MANAGEMENT LLC",
  "dbas": [],
  "city": "Stamford",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-05-24",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-09-23",
  "carried_forward": false,
  "raum_total": 588940507.0,
  "raum_discretionary": 588940507.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 8,
  "advisory_employees": 5,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 169588817.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 55149514.0,
      "count": null,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 3662108.0,
      "count": 0,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 115299397.0,
      "count": 5
    },
    "pooled_investment_vehicles": {
      "raum": 245240671.0,
      "count": 1
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT"
  ],
  "websites": [
    "https://linkedin.com/company/rja-asset-management/about",
    "https://rja-llc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153428",
  "city_as_filed": "STAMFORD",
  "url": "https://advisorcensus.com/firm/rja-asset-management-llc-stamford-ct-153428",
  "display_name": "RJA Asset Management LLC",
  "summary": "RJA Asset Management LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2010, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 23, 2026.",
  "citation": "AdvisorCensus. RJA Asset Management LLC (CRD 153428): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "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"
  ],
  "quick_answers": [
    {
      "q": "How is RJA Asset Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), RJA Asset Management LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other."
    },
    {
      "q": "How much does RJA Asset Management LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated February 23, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is RJA Asset Management LLC located?",
      "a": "RJA Asset Management LLC's principal office is in Stamford, CT, according to its Form ADV."
    },
    {
      "q": "Is RJA Asset Management LLC registered with the SEC or a state?",
      "a": "RJA Asset Management LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153428."
    },
    {
      "q": "How much does RJA Asset Management LLC manage?",
      "a": "RJA Asset Management LLC reports $588,940,507 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (100% discretionary)."
    },
    {
      "q": "How have RJA Asset Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for RJA Asset Management LLC: Regulatory assets under management: $356,495,409 in the October 2021 data and $588,940,507 in the October 2026 data, up 65%. Total employees: 9 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does RJA Asset Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (5); pooled investment vehicles (other than investment companies and business development companies) (1)."
    },
    {
      "q": "Which custodians does RJA Asset Management LLC use?",
      "a": "RJA Asset Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and The Northern Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does RJA Asset Management LLC report any disciplinary disclosures?",
      "a": "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/153428"
    },
    {
      "q": "What changed in RJA Asset Management LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 356495409.0,
      "total_employees": 9,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 650207158.0,
      "total_employees": 9,
      "filing_date": "2022-07-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 847062309.0,
      "total_employees": 8,
      "filing_date": "2023-04-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 720082969.0,
      "total_employees": 8,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 992490453.0,
      "total_employees": 8,
      "filing_date": "2025-03-20"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 588940507.0,
      "total_employees": 8,
      "filing_date": "2026-09-23"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $992,490,453 to $588,940,507 (-41%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 23, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1% of assets a year",
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "Fees without a performance fee component are generally up to 1% per annum of the notional exposure (economic exposure) of the risk characteristics that are being altered or created, or on the amount defined in the client agreement."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 1.0,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Fees without a performance fee component are generally up to 1% per annum of the notional exposure (economic exposure) of the risk characteristics that are being altered or created, or on the amount defined in the client agreement."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "The Northern Trust Company",
      "name_as_filed": "THE NORTHERN TRUST COMPANY",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/rja-asset-management-llc-stamford-ct-153428.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 5,
      "fewer_than_5": false,
      "raum": 115299397.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 245240671.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 169588817.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 55149514.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": true,
      "raum": 3662108.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/153428",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}