ROCKFLEET FINANCIAL SERVICES, INC.

Overview

Rockfleet Financial Services, Inc. operates as an independent broker-dealer and registered municipal advisor that serves institutional clients and acts as a capital allocator. The firm favors equity exposure — its filings identify a clear preference for exchange‑traded equities — while also maintaining the infrastructure to recommend and place a broader set of managers and products. Advisory capabilities include financial planning and portfolio management for individuals, small businesses, and institutional clients, and the firm also performs selection of other advisers when clients require third‑party manager access. Fee arrangements are flexible: Rockfleet charges a mix of percentage-of-AUM, hourly, and fixed fees depending on client needs. It is not positioned as an ESG-focused investor, does not function as a multi-state adviser per its filing, and is not a pension consultant. The firm’s regulatory history shows SEC registration in 2010 and an ownership structure categorized as a domestic entity/individual.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices