AdvisorCensus / Financial advisors / RK Asset Management
RK Asset Management
Filed as RK ASSET MANAGEMENT · Legal name RK Asset Management, LLC
RK Asset Management is an SEC-registered investment advisory firm, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 22, 2026.
Quick answers
From the filingHow is RK Asset Management compensated?
On its Form ADV (Item 5.E, October 2026), RK Asset Management reports these compensation arrangements: a percentage of assets under its management.
Is RK Asset Management registered with the SEC or a state?
RK Asset Management is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 121886.
How much does RK Asset Management manage?
RK Asset Management reports $107,024,370 in regulatory assets under management in its Form ADV filing dated January 22, 2026 (100% discretionary).
How have RK Asset Management's assets and staff changed since 2021?
In the Form ADV data for RK Asset Management: Regulatory assets under management: $95,067,239 in the October 2021 data and $107,024,370 in the October 2026 data, up 13%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does RK Asset Management serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (32); individuals (other than high net worth individuals) (25); other investment advisers (24).
Which custodians does RK Asset Management use?
RK Asset Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Wells Fargo Advisors Financial Network, LLC as custodians holding 10% or more of its separately managed account assets.
Does RK Asset Management 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/121886
Does RK Asset Management state an account minimum?
Its Form ADV Part 2A brochure dated January 22, 2026 says: "In general, we require a minimum of $100,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."
What changed in RK Asset Management's recent Form ADV filings?
In the February 2026 filing data: Regulatory assets under management went from $123,460,103 to $107,024,370 (-13%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $100,000 (the brochure says it may be waived or negotiated)
The brochure's wording
In general, we require a minimum of $100,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size.
As stated in the firm's Form ADV Part 2A brochure dated January 22, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$107,024,370 as of October 2026, filing dated January 22, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- RK Asset Management, LLC
- Also doing business as
- RK ASSET MANAGEMENT
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2014 (12 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $107,024,370 | 1 | January 22, 2026 |
| October 2025 | $123,460,103 | 1 | January 14, 2025 |
| October 2024 | $121,784,155 | 1 | January 11, 2024 |
| October 2023 | $105,639,785 | 1 | September 18, 2023 |
| October 2022 | $115,154,371 | 1 | January 14, 2022 |
| October 2021 | $95,067,239 | 1 | January 19, 2021 |
Regulatory assets under management: $95,067,239 in the October 2021 data and $107,024,370 in the October 2026 data, up 13%.
Total employees: 1 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Regulatory assets under management went from $123,460,103 to $107,024,370 (-13%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. RK Asset Management (CRD 121886): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/rk-asset-management-121886