ROUND ROCK ADVISORS LLC

RIASEC RegisteredEst. 2017

Total AUM

$907M

Discretionary

$907M

100% of AUM

Avg account

$469K

Accounts

1,935

Employees

Advisory reps

Firm details

Headquarters: WILTON, Connecticut
CRD number: 286007
Registered since: January 23, 2017
Website: www.roundrockadvisors.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI65.67%
Individuals14.75%
Pooled Investment Vehicles7.95%
Other6.04%
Pension & Profit Sharing Plans2.49%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Round Rock Advisors LLC is an independent, SEC-registered RIA organized as an LLC and operating since 2017. The firm serves both individual/family and institutional clients and bills on a percentage-of-AUM and fixed-fee basis. Its advisory services, as reported on the ADV, include financial planning, portfolio management for individuals/small businesses and pooled vehicles, pension consulting services, and the selection of other advisers. The firm identifies itself as a capital allocator and is not classified as an active ESG investor. Round Rock positions itself to combine in-house portfolio management with third‑party manager selection, implying a mix of direct public market exposure and allocations to external alternative managers. Custodial relationships and ADV disclosures suggest a traditional RIA infrastructure focused on discretionary management.