# RUGGIERO INVESTMENTS, INC.

RUGGIERO INVESTMENTS, INC. of WEST PALM BEACH, FL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 169180
- Type: SEC-registered investment adviser
- SEC file number: 801-131800
- Location: 500 S. AUSTRAILIAN AVENUE, SUITE 608, WEST PALM BEACH, FL, 33401
- Phone: (800) 777-4726
- Latest filing: 2026-03-24
- Regulatory AUM: $137.6M
- Discretionary AUM: $137.6M
- Clients: 5
- Accounts: 767

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| Thomas Anthony Ruggiero | CEO | — |
| Thomas Wesley Ruggiero | PRESIDENT | — |
| Christopher Thomas Ruggiero | CHIEF COMPLIANCE OFFICER AND EXECUTIVE VICE PRESIDENT | — |
| RUGGIERO STEVEN ANTHONY | CEO & CHIEF COMPLIANCE OFFICER | — |
| RUGGIERO THOMAS WESLEY | PRESIDENT | — |


## Disclosures (5)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-08-13 | regulatory | ON MARCH 1, 2023, THE FIRM WAS SENT A DEFICIENCY LETTER FROM THE STATE OF FLORIDA REGARDING AN IAR WITH PENDING REGISTRATION IN THE STATE. AS THE FIRM DIDN'T SEE THE EMAIL FROM THE STATE OR RECEIVE A HARD COPY LETTER THAT TYPICALLY WOULD FOLLOW AN EMAIL, A RESPONSE WAS NOT SENT TO THE STATE. THUS, T… | Final | $8K |


## Branch offices (8)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| FT. LAUDERDALE | FL | 3 | 800-777-4726 |
| FT. LAUDERDALE | FL | 3 | 800-777-4726 |
| PORT ST. LUCIE | FL | 2 | (800) 777-4726 |
| PORT ST. LUCIE | FL | 2 | (800) 777-4726 |
| MELBOURNE | FL | 2 | 321-745-1802 |
| MELBOURNE | FL | 2 | 321-745-1802 |
| PORT JEFFERSON | NY | 1 | (917) 902-3392 |
| PORT JEFFERSON | NY | 1 | (917) 902-3392 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/169180/brochure
- Similar advisers: https://search.stillhousedata.com/firm/169180/similar
- Related entities: https://search.stillhousedata.com/firm/169180/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/169180

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.