ROCKWOOD CAPITAL ADVISORS LLC
Adviser information for ROCKWOOD CAPITAL ADVISORS LLC last updated from Form ADV on March 29th, 2023. 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 | Missouri, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 15 | $248.8M |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $248.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 6 | $34.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 9 | $214.4M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-54163 |
|---|---|
| SEC ERA File Number | 801-54163 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108644 |
| Legal Entity Identifier | None |
Principal Office
400 CHESTERFIELD CENTERSUITE 400
ST. LOUIS
MO
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 314-962-8336, Fax: None
Websites
Chief Compliance Officer
LISA L. WILDEISEN
PARTNER AND SENIOR INVESTMENT MANAGER
400 CHESTERFIELD CENTER
SUITE 400
ST. LOUIS
MO
United States
Tel:
314-962-8336
L***@******************M
(Full email address available in API data)
Regulatory Contact
LISA L WILDEISEN
PARTNER AND SENIOR INVESTMENT MANAGER
400 CHESTERFIELD CNETER
SUITE 400
ST. LOUIS
MO
United States
Tel:
314-962-8336
L***@******************M
(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 |
|---|---|---|---|---|---|
| BROWN, ANTHONY, KENNETH | Individual | – | SENIOR PARTNER AND DIRECTOR OF MARKETING | 03/1997 | 10-25% |
| HOLTGRIEVE, DONALD, ANDREW | Individual | – | MANAGING PARTNER AND CHIEF OPERATING OFFICER | 03/1997 | 10-25% |
| RAPPONOTTI, PAUL, DAVID | Individual | – | MANAGING PARTNER AND CHIEF INVESTMENT OFFICER | 03/1997 | 10-25% |
| WILDEISEN, LISA, LONGO | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | 5-10% |
| BANK ONE CAPITAL FLORIDA, LLC | Domestic Entity | – | PREFERRED OWNER | 03/1997 | 10-25% |