Bruno Larocca

RDM CAPITAL ASSOCIATES

Red Bank, NJ 07701

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CRD#: 865368

Professional summary

Bruno Larocca is a registered financial advisor currently at RDM CAPITAL ASSOCIATES INC located in Red Bank, New Jersey.

Bruno is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Bruno has worked at 4 firms and has passed the Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruno Larocca's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 8, 2014 - Present

RDM CAPITAL ASSOCIATES INC

Office #1: 263 Broad St, Red Bank, NJ 07701

RIA

CRD#: 106941

Red Bank, NJ

Past

March 12, 1985 - February 19, 1998

STIRES & CO., INC.

CRD#: 6813

NEW YORK, NY

Past

October 25, 1982 - February 15, 1985

SWARTWOOD, HESSE INC.

CRD#: 8603

Past

May 1, 1979 - October 25, 1982

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RDM CAPITAL ASSOCIATES INC

CRD#: 106941 / SEC#: 801-129856

RIA

Registered Investment Advisory firm - (4/9/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/23/2021 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2024 Terminated)

New York

Registered Investment Advisory firm - (5/7/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/6/2020)

IAR

New Jersey
(5/8/2014)

IAR

New York
(8/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/1984

General Securities Principal Examination

Current Firm

RDM CAPITAL ASSOCIATES INC

CRD#: 106941 / SEC#: 801-129856

RIA

Registered Investment Advisory firm - (4/9/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/23/2021 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2024 Terminated)

New York

Registered Investment Advisory firm - (5/7/2024 Terminated)

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Contact information

Main Address

263 Broad St, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 576-1671

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

20250207 RDM BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	247
AUM (Assets Under Management)	$ 127,578,442

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Bruno Larocca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruno Larocca's CRS (Customer Relationship Summary).

Certified licenses

Experience

RDM CAPITAL ASSOCIATES INC

STIRES & CO., INC.

SWARTWOOD, HESSE INC.

JANNEY MONTGOMERY SCOTT LLC

Primary Firm SEC Registration

RDM CAPITAL ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 7

Date: 4/21/1979

Series 24

Date: 7/2/1984

Current Firm

RDM CAPITAL ASSOCIATES INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RDM CAPITAL ASSOCIATES INC

TRUST BUT VERIFY

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