Firm profile

Rja Asset Management LLC

STAMFORD, CTCRD 153428Registration Status: ApprovedEffective since May 24, 2010SEC # 801-71483Latest ADV September 23, 2026

Rja Asset Management LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Stamford, CT. Its latest Form ADV filing, dated September 23, 2026, reports $589M in regulatory assets under management, 8 employees, 1 office, and 14 accounts.

Assets Under Management
$589M
Employees
8
Offices
1 office
Total Clients
6

Associated firm names

3 names listed
  • RJA ASSET MANAGEMENT LLC
  • ROSS, JEFFREY & ANTLE LLC
  • ROSS FARRAR LLC

Leadership

1 roles identified
CCOKristi A. Jeffrey

Advisory services offered

3 types reported
Portfolio management for businesses
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles

Fee models offered

4 types reported
Asset based fees
Fixed fees
Other fee arrangements

Offices & Contact

Primary office

STAMFORD, Connecticut, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Connecticut

STAMFORDPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$589Mas of September 23, 2026
Discretionary100.0%
$589M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentHNWI represent 83.3% of total clients.
Top client categories% of clientsClients
1
HNWI
83.3%
5
2
Pooled Investment Vehicles
16.7%
1
Categories with <5 clients
Charitable Organizations<5 clients
Other investment advisers<5 clients
State or municipal government entities (including govt. pension plans)<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$589M
Total Accounts14
10Y AUM Change+$4M (+0.6%)

Private Funds

Private funds reported by Rja Asset Management LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees8
Clients per Employee1:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
NICHOLAS JARVIS LEEPERDirect owner · Schedule AInterest in RJA ASSET MANAGEMENT LLC
75%+
Bradley Tazman JeffreyDirect owner · Schedule AInterest in RJA ASSET MANAGEMENT LLC
5% to < 10%
Alyssa Sydney JeffreyDirect owner · Schedule AInterest in RJA ASSET MANAGEMENT LLC
5% to < 10%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Rja Asset Management LLC.

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-09-23 · Schedules A and B

4 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1NICHOLAS JARVIS LEEPERMANAGING MEMBERIndividualRJA ASSET MANAGEMENT LLC75% or moreCode EYesMANAGING MEMBER01/2017Schedule APDF page 29
2KRISTI ANNE JEFFREYCHIEF COMPLIANCE OFFICERIndividualRJA ASSET MANAGEMENT LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER12/2018Schedule APDF page 29
3Bradley Tazman JeffreyMEMBERIndividualRJA ASSET MANAGEMENT LLC5% to less than 10%Code ANoMEMBER07/2026Schedule APDF page 29
4Alyssa Sydney JeffreyMEMBERIndividualRJA ASSET MANAGEMENT LLC5% to less than 10%Code ANoMEMBER07/2026Schedule APDF page 29

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 9/23/2026 12:46:31 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.