Hedge Fund Database

ROUND ROCK ADVISORS LLC

Adviser information for ROUND ROCK ADVISORS LLC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Connecticut, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,686 $643.6M
Non-Discretionary 130 $29.7M
Total 1,816 $673.3M

Clients

Type Number RAUM
Individuals 452 $148.3M
HNW Individuals 173 $490.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $2.4M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $32.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-108989
SEC ERA File Number 801-108989
SEC CIK Numbers 1846991
SEC CRD Numbers 286007
Legal Entity Identifier None

Principal Office

187 DANBURY ROAD
SUITE 201
WILTON
CT
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (203) 920-4774, Fax: (203) 594-7766

Websites

www.linkedin.com/company/roundrockadvisors/about/ roundrockadvisors.com/

Chief Compliance Officer

CRAIG JENSEN
187 DANBURY ROAD
SUITE 201
WILTON
CT
United States
Tel: (203) 920-4774
Fax: (203) 594-7766
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
BOWLER, BERT, THOMAS Individual – MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR 04/2017 50-75%
JENSEN, CRAIG, DAN Individual – MEMBER, CCO AND PRIVATE WEALTH ADVISOR 11/2023 50-75%

No. Employees, Historic

2010020192020202120222023202420258 on 8/15/20198 on 11/20/20198 on 2/18/20208 on 5/22/20208 on 10/14/20208 on 12/8/202011 on 2/17/202111 on 11/19/202113 on 3/17/202213 on 4/25/202213 on 11/11/202213 on 11/28/202216 on 3/2/202316 on 3/8/202316 on 8/3/202316 on 9/15/202316 on 11/7/202319 on 3/21/2024

RAUM, Historic

700M350M02019202020212022202320242025220943226 on 8/15/2019220943226 on 11/20/2019209400000 on 2/18/2020209400000 on 5/22/2020209400000 on 10/14/2020209400000 on 12/8/2020261103895 on 2/17/2021261103895 on 11/19/2021492652131 on 3/17/2022492652131 on 4/25/2022488070976 on 11/11/2022488070976 on 11/28/2022484811266 on 3/2/2023484811266 on 3/8/2023484811266 on 8/3/2023484811266 on 9/15/2023484811266 on 11/7/2023673293156 on 3/21/2024

No. Clients, Historic

70035002019202020212022202320242025393 on 8/15/2019393 on 11/20/2019395 on 2/18/2020395 on 5/22/2020395 on 10/14/2020395 on 12/8/2020503 on 2/17/2021503 on 11/19/2021458 on 3/17/2022458 on 4/25/2022458 on 11/11/2022458 on 11/28/2022589 on 3/2/2023589 on 3/8/2023589 on 8/3/2023589 on 9/15/2023589 on 11/7/2023625 on 3/21/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 498K 5K –
ABBVIE INC COM 4M 21K –
AGNICO EAGLE MINES LTD COM 772K 12K –
AIR PRODS & CHEMS INC COM 3M 12K –
ALPHABET INC CAP STK CL C 8M 44K –
ALPHABET INC CAP STK CL A 2M 9K –
AMAZON COM INC COM 7M 37K –
AMEREN CORP COM 676K 10K –
AMERICAN EXPRESS CO COM 407K 2K –
AMERIPRISE FINL INC COM 863K 2K –
AMPHENOL CORP NEW CL A 1M 17K –
APPLE INC COM 19M 91K –
ARISTA NETWORKS INC COM 918K 3K –
AT&T INC COM 400K 21K –
BANK NEW YORK MELLON CORP COM 401K 7K –
BERKSHIRE HATHAWAY INC DEL CL A 12M 20 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
BLACKSTONE INC COM 479K 4K –
BLACKSTONE STRATEGIC CRED 20 COM SHS BEN IN 247K 21K –
BOEING CO COM 277K 2K –
BROOKFIELD CORP CL A LTD VT SH 851K 20K –
CAESARS ENTERTAINMENT INC NE COM 1M 27K –
CAPITAL GROUP INTL FOCUS EQT SHS CREATION UNI 848K 33K –
CAPITAL ONE FINL CORP COM 2M 15K –
CARRIER GLOBAL CORPORATION COM 253K 4K –
CHEVRON CORP NEW COM 3M 17K –
CHUBB LIMITED COM 2M 9K –
CITIGROUP INC COM NEW 1M 18K –
COCA COLA CO COM 554K 9K –
COMCAST CORP NEW CL A 2M 48K –
CONSTELLATION BRANDS INC CL A 2M 9K –
CONSTELLATION ENERGY CORP COM 200K 1K –
CORTEVA INC COM 308K 6K –
COSTCO WHSL CORP NEW COM 263K 310 –
CVS HEALTH CORP COM 2M 35K –
DEERE & CO COM 458K 1K –
DELL TECHNOLOGIES INC CL C 1M 8K –
DEVON ENERGY CORP NEW COM 298K 6K –
DISNEY WALT CO COM 314K 3K –
DOW INC COM 351K 7K –
DUPONT DE NEMOURS INC COM 475K 6K –
ELEVANCE HEALTH INC COM 4M 7K –
ELI LILLY & CO COM 382K 422 –
ENTERPRISE PRODS PARTNERS L COM 1M 45K –
EXXON MOBIL CORP COM 2M 16K –
FIDELITY COMWLTH TR NASDAQ COMPSIT 517K 7K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 208K 5K –
GE AEROSPACE COM NEW 452K 3K –
GILEAD SCIENCES INC COM 202K 3K –
GOLDMAN SACHS ETF TR ACTIVEBETA INT 365K 11K –
GOLDMAN SACHS GROUP INC COM 407K 899 –
HOME DEPOT INC COM 2M 5K –
HONEYWELL INTL INC COM 3M 14K –
INTERCONTINENTAL EXCHANGE IN COM 4M 28K –
INTERNATIONAL BUSINESS MACHS COM 2M 13K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 3M 13K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 872K 13K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 10M 62K –
INVESCO QQQ TR UNIT SER 1 33M 69K –
ISHARES TR CORE S&P SCP ETF 21M 195K –
ISHARES TR SELECT DIVID ETF 10M 86K –
ISHARES TR MSCI USA MIN VOL 4M 52K –
ISHARES TR IBONDS DEC25 ETF 3M 133K –
ISHARES TR IBONDS DEC2026 3M 138K –
ISHARES TR IBONDS 27 ETF 2M 83K –
ISHARES TR MSCI EAFE MIN VL 1M 19K –
ISHARES TR ESG AWARE MSCI 570K 15K –
ISHARES TR MSCI USA ESG SLC 986K 9K –
ISHARES TR 0-5YR HI YL CP 775K 18K –
ISHARES TR S&P 500 GRWT ETF 3M 32K –
ISHARES TR CORE S&P MCP ETF 1M 21K –
ISHARES TR CORE S&P US VLU 283K 3K –
ISHARES TR CORE MSCI EAFE 371K 5K –
ISHARES TR RUS MD CP GR ETF 747K 7K –
ISHARES TR BLACKROCK ULTRA 360K 7K –
ISHARES TR RUS TP200 GR ETF 836K 4K –
ISHARES TR CORE S&P500 ETF 2M 3K –
ISHARES TR RUS 1000 GRW ETF 336K 921 –
ISHARES TR CORE DIV GRWTH 365K 6K –
ISHARES TR ESG AW MSCI EAFE 209K 3K –
ISHARES TR MSCI EMG MKT ETF 577K 14K –
ISHARES TR RUSSELL 2000 ETF 583K 3K –
ISHARES TR US HLTHCARE ETF 281K 5K –
ISHARES TR IBONDS DEC24 ETF 429K 17K –
ISHARES TR CORE S&P US GWT 209K 2K –
ISHARES TR NATIONAL MUN ETF 280K 3K –
ITT INC COM 3M 20K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 6M 127K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 39K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 720K 13K –
JOHNSON & JOHNSON COM 969K 7K –
JPMORGAN CHASE & CO. COM 975K 5K –
LAM RESEARCH CORP COM 214K 201 –
MARRIOTT INTL INC NEW CL A 622K 3K –
MATTHEWS ASIA FDS EMER MKTS EQUITY 550K 18K –
MERCK & CO INC COM 1M 9K –
META PLATFORMS INC CL A 664K 1K –
MICRON TECHNOLOGY INC COM 859K 7K –
MICROSOFT CORP COM 16M 36K –
MORGAN STANLEY EMKT DBT FD I COM 155K 21K –
NETFLIX INC COM 770K 1K –
NEUBERGER BERMAN MUN FD INC COM 192K 18K –
NOVARTIS AG SPONSORED ADR 373K 4K –
NVIDIA CORPORATION COM 2M 15K –
NXP SEMICONDUCTORS N V COM 2M 8K –
ORACLE CORP COM 487K 3K –
PALO ALTO NETWORKS INC COM 330K 974 –
PARAMOUNT GLOBAL CLASS B COM 356K 34K –
PAYPAL HLDGS INC COM 498K 9K –
PENTAIR PLC SHS 330K 4K –
PEPSICO INC COM 2M 10K –
PFIZER INC COM 583K 21K –
PIMCO ETF TR ENHANCD SHORT 429K 4K –
PIMCO ETF TR ENHAN SHRT MA AC 239K 2K –
PIMCO ETF TR ACTIVE BD ETF 229K 3K –
PROCTER AND GAMBLE CO COM 592K 4K –
PROSHARES TR RUSS 2000 DIVD 371K 6K –
REGENERON PHARMACEUTICALS COM 378K 360 –
RTX CORPORATION COM 1M 13K –
SALESFORCE INC COM 201K 780 –
SCHWAB STRATEGIC TR US DIVIDEND EQ 506K 7K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 11M 73K –
SELECT SECTOR SPDR TR INDL 12M 95K –
SELECT SECTOR SPDR TR TECHNOLOGY 7M 33K –
SELECT SECTOR SPDR TR FINANCIAL 223K 5K –
SHOPIFY INC CL A 256K 4K –
SNOWFLAKE INC CL A 609K 5K –
SOUTHERN CO COM 329K 4K –
SPDR DOW JONES INDL AVERAGE UT SER 1 1M 3K –
SPDR S&P 500 ETF TR TR UNIT 5M 10K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 729K 1K –
SPDR SER TR S&P REGL BKG 4M 81K –
SPDR SER TR S&P SEMICNDCTR 1M 5K –
SPDR SER TR S&P DIVID ETF 458K 4K –
TEMPLETON EMERGING MKTS FD COM 148K 12K –
TEMPLETON EMERGING MKTS INCO COM 212K 40K –
TESLA INC COM 1M 5K –
TRAVEL PLUS LEISURE CO COM 421K 9K –
UNION PAC CORP COM 369K 2K –
UNITEDHEALTH GROUP INC COM 5M 11K –
VANECK ETF TRUST SEMICONDUCTR ETF 21M 79K –
VANECK ETF TRUST GOLD MINERS ETF 258K 8K –
VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 855K 8K –
VANGUARD INDEX FDS MID CAP ETF 21M 85K –
VANGUARD INDEX FDS GROWTH ETF 261K 697 –
VANGUARD INDEX FDS MCAP VL IDXVIP 342K 2K –
VANGUARD INDEX FDS SML CP GRW ETF 1M 4K –
VANGUARD INDEX FDS SM CP VAL ETF 439K 2K –
VANGUARD INDEX FDS VALUE ETF 1M 7K –
VANGUARD INDEX FDS LARGE CAP ETF 2M 6K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VANGUARD INDEX FDS SMALL CP ETF 894K 4K –
VANGUARD INDEX FDS S&P 500 ETF SHS 323K 645 –
VANGUARD MALVERN FDS STRM INFPROIDX 2M 35K –
VANGUARD MUN BD FDS TAX EXEMPT BD 346K 7K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 2M 30K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 817K 10K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 2M 11K –
VANGUARD STAR FDS VG TL INTL STK F 299K 5K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 682K 14K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 31M 264K –
VANGUARD WHITEHALL FDS INTL DVD ETF 973K 12K –
VANGUARD WORLD FD ESG INTL STK ETF 552K 10K –
VANGUARD WORLD FD ESG US CORP BD 212K 3K –
VANGUARD WORLD FD ESG US STK ETF 228K 2K –
VANGUARD WORLD FD INF TECH ETF 2M 3K –
VANGUARD WORLD FD CONSUM DIS ETF 225K 720 –
VANGUARD WORLD FD HEALTH CAR ETF 445K 2K –
VERIZON COMMUNICATIONS INC COM 362K 9K –
VOYA GLBL ADV & PREM OPP FD COM 543K 61K –
VOYA GLBL EQTY DIV & PREM OP COM 186K 36K –
WALMART INC COM 256K 4K –
WILLIAMS COS INC COM 2M 46K –
WILLIS TOWERS WATSON PLC LTD SHS 202K 769 –
WISDOMTREE TR US SMALLCAP DIVD 609K 20K –
WP CAREY INC COM 276K 5K –
WYNDHAM HOTELS & RESORTS INC COM 864K 12K –
XYLEM INC COM 612K 5K –
YUM BRANDS INC COM 376K 3K –
ZIMMER BIOMET HOLDINGS INC COM 206K 2K –