Robotic Trading Advisors, LLC (Scottsdale)

Name: Robotic Trading Advisors, LLC
Address: 14362 N Frank Lloyd Wright Blvd, Scottsdale, AZ, 85260
Telephone: 855-207-2276

Robotic Trading Advisors, LLC is a multi-state adviser based in Scottsdale. It manages $5 million of regulatory assets for 61 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Arizona, California, Colorado, and 12 other states.

Robotic Trading Advisors provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as robotic tradiing solutions/services.

Robotic Trading Advisors: assets under management

The assets under management (AUM) of Robotic Trading Advisors, LLC is $5 million. The firm's AUM has grown by 0% since the beginning of its operation, and $200 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $3.5 million in discretionary accounts and $1.5 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $102.94 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $55.56 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 50% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 50% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Robotic Trading Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robotic Trading Advisors serves?

The only and largest group of clients of Robotic Trading Advisors is individuals with 27 clients and $4 million of assets under management. Among the 7 most similar advisory firms, Robotic Trading Advisors has the 4th highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $4 million for 27 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Robotic Trading Advisors doesn't advise any private funds.

Careers at Robotic Trading Advisors, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Cary Flanders	Equity owner/member	1 May 2013	25% - 50%	6031286
Nicholas J Rausch	Cco managing member	1 May 2013	50% - 75%	6043488
Eric Scott Williams	Member/chief compliance officer	1 Mar 2015	50% - 75%	2049683
Dan M Lindsey	Member	1 Mar 2015	Other	860646
J. Michael Schaefermeyer	Member	1 Mar 2015	Other	6460590
Nicholas J Rausch	Chief compliance officer	1 Dec 2015	Other	6043488
Black Interests Limited Partnership	Member	1 Jun 2016	Other	25-1724913
Robert James Roche	Chief compliance officer	1 Jun 2016	Other	2463984
Nicholas J Rausch	Chief compliance officer	1 Apr 2017	50% - 75%	6043488

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Samuel P Black	Owner	1 Oct 1993	75% - 100%	6705746

Based in Scottsdale

The principal office where Robotic Trading Advisors, LLC performs its advisory services is located at 14362 N Frank Lloyd Wright Blvd, Scottsdale, AZ 85260, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 855-207-2276. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at roboticadvisors.com.