Business Description

Riggs Capital Management (RCM) is an SEC-registered
investment advisory firm providing wealth management
and financial planning services to individuals and
institutions across the nation. RCM focuses on
providing every client with a high level of
diversification, convenience, transparency and world
class service as we keep you on track to reaching your
financial goals. Prior to founding RCM, Tony Riggs was
a mutual fund manager responsible for the investment
and oversight of over $1.5 billion in assets. Tony and
his RCM business partners have combined financial
management experience of over 75 years with several
credentials/designations including CFA, CFP, CPA, CRPC
and MBA. RCM is completely independent from other
investment firms offering only objective and unbiased
advice. RCM is accepting new clients and we welcome
your requests for further information or a customized
proposal.

General Information

Gender:

Male

CRD#:

2394147

Firm CRD#:

120253

SEC File#:

801- 64363

Insurance License#:

196206

Name of Broker/Dealer:

Triad Advisors, Inc.

States Licensed in:

CA, CO, FL, GA, HI, ID, KY, MA, MI, MN, MO, NY, OH,
UT, WA

States Willing to do Business in:

All states

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Investment Clubs, Individual Investors, Non-Profit Organizations, Businesses

Foreign Languages Serviced:

Spanish

Education

Academic Background

BS, Business Management with an emphasis in
Finance - Brigham Young University

MBA, Finance - University of Utah

Services

Investment Types:

Commodities, Bonds, Exchange Traded Funds (ETFs), Alternative Investments, Options & Futures, Mutual Funds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 7, Series 65, Series 63

Insurance and Annuity Licenses:

Life, Health, Casualty, Property, Disability

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

200

Assets Managed by Firm:

$100,000,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Hourly, Flat Fee, Based on Assets

Hourly Rate:

$200

Additional Details on Charges:

Managed Assets Annual Percentage Rate
1.25% for the first $1,000,000
1.00% for the next $2,000,000
0.75% for the next $7,000,000
$10,000,000 or more is negotiable

Prepared By:

Tony Riggs, MBA