Rudney Associates
Registered investment adviser · Alamo, CA · CRD #110235
Form ADV data as of 2026-09-01Regulatory assets
$940.2 million
Total accounts
492
Employees
2
Disclosure events
3
Firm details
- Website: http://www.rudneyassociates.com
- Telephone: 925-838-0696
- SEC file number: 801-60080
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $938.8 million |
| Non-discretionary regulatory assets under management | $1.4 million |
| Total regulatory assets under management | $940.2 million |
| Discretionary accounts | 485 |
| Non-discretionary accounts | 7 |
| Total accounts | 492 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 2 |
| Employees performing investment advisory functions (including research) | 1 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 1 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 1 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $76.2 million |
| Clients for whom the firm has custody | 3 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 200 | $112.4 million |
| High net worth individuals | 250 | $787.4 million |
| Pension and profit sharing plans (not the participants or government plans) | 15 | $16.6 million |
| Charitable organizations | 5 | $12.5 million |
| Corporations or other businesses not listed above | Not reported | $11.4 million |