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RDG CAPITAL MANAGEMENT LLC

PITTSFORD, NY · CRD 329749 · IAPD ↗ · rdgcapitalmanagement.com · 585-673-2690

$131.8MRegulatory AUM
2Advisory reps
2Employees
0Clients
26-50Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — RDG CAPITAL MANAGEMENT LLC moved its main office from ROCHESTER, NY to PITTSFORD, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
60
April 2026 — RDG CAPITAL MANAGEMENT LLC reported RAUM up 26% ($104.8M -> $131.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
April 2026 — RDG CAPITAL MANAGEMENT LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
44
April 2025 — RDG CAPITAL MANAGEMENT LLC notice-filed in FL, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2025 — RDG CAPITAL MANAGEMENT LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — RDG CAPITAL MANAGEMENT LLC reported RAUM up 89% ($55.4M -> $104.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
61
July 2024 — RDG CAPITAL MANAGEMENT LLC reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
July 2024 — RDG CAPITAL MANAGEMENT LLC now reports custody of client assets ($626,665).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
July 2024 — RDG CAPITAL MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
March 2024 — RDG CAPITAL MANAGEMENT LLC (ROCHESTER, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.