# Rubicon Investment Management & Analytics

> Rubicon Investment Management & Analytics is a state-registered investment advisory firm in Houston, TX, registered since 2007, with no regulatory assets under management reported in its Form ADV filing dated March 30, 2026.

- CRD: 141219
- Filed as: RUBICON INVESTMENT MANAGEMENT & ANALYTICS
- Legal name: Rubicon Wealth Advisors, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/141219
- AdvisorCensus page: https://advisorcensus.com/firm/rubicon-investment-management-and-analytics-houston-tx-141219

## Quick answers

**How is Rubicon Investment Management & Analytics compensated?**
On its Form ADV (Item 5.E, October 2026), Rubicon Investment Management & Analytics reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rubicon Investment Management & Analytics located?**
Rubicon Investment Management & Analytics' principal office is in Houston, TX, according to its Form ADV.

**Is Rubicon Investment Management & Analytics registered with the SEC or a state?**
Rubicon Investment Management & Analytics is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 141219.

**Does Rubicon Investment Management & Analytics report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(4) (SEC or CFTC order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.H(2) (pending civil proceeding). 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/141219

## From the Form ADV filing

### Compensation (Item 5.E)
- Other

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Other | 0 | Not reported |

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

### Firm details
- Registered since: 2007 (19 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(2): Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?

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/141219

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rubicon Investment Management & Analytics (CRD 141219): Form ADV filing data as of October 2026.