Ria Advisory Group, LLC
Registered investment adviser · Des Moines, IA · CRD #152566
Form ADV data as of 2026-09-01Regulatory assets
$568.4 million
Total accounts
3,228
Employees
25
Disclosure events
2
Firm details
- Website: https://www.dakotaadvisoryteam.com
- Telephone: (515) 965-8588
- SEC file number: 801-117837
- Most recent Form ADV filing: 2026-06-23
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $561.9 million |
| Non-discretionary regulatory assets under management | $6.5 million |
| Total regulatory assets under management | $568.4 million |
| Discretionary accounts | 3,062 |
| Non-discretionary accounts | 166 |
| Total accounts | 3,228 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 25 |
| Employees performing investment advisory functions (including research) | 25 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 25 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 17 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,867 | $316.4 million |
| High net worth individuals | 101 | $241.8 million |
| Pension and profit sharing plans (not the participants or government plans) | 3 | $967,233 |
| Corporations or other businesses not listed above | 25 | $9.2 million |