ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
Adviser information for ROCKBRIDGE INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | New York, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| 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 | 3,790 | $1.4B |
| Non-Discretionary | 97 | $48.4M |
| Total | 3,887 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,123 | $205.2M |
| HNW Individuals | 366 | $823.6M |
| 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 | 15 | $93.0M |
| Charitable organizations | 35 | $163.6M |
| 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 | 29 | $199.1M |
| Other | <5 | $547,913 |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-60639 |
|---|---|
| SEC ERA File Number | 801-60639 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115754 |
| Legal Entity Identifier | None |
Principal Office
220 SOUTH WARREN STREET9TH FLOOR
SYRACUSE
NY
United States
Monday - Friday, 8AM-5PM
Tel: 315-671-0588, Fax: 315-671-0589
Chief Compliance Officer
PATRICIA EDWARDS
CLIENT RELATIONS MANAGER
220 SOUTH WARREN STREET
9TH FLOOR
SYRACUSE
NY
United States
Tel:
315-671-0588 X201
Fax:
315-671-0589
P*******@*******************M
(Full email address available in API data)
Regulatory Contact
CRAIG A BUCKHOUT
MANAGER
220 SOUTH WARREN STREET
9TH FLOOR
SYRACUSE
NY
United States
Tel:
315-671-0588
Fax:
315-671-0589
C********@*******************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 |
|---|---|---|---|---|---|
| BUCKHOUT, CRAIG, ALLEN | Individual | – | MANAGER | 12/1997 | 25-50% |
| FARELLA, ANTHONY, ROBERT | Individual | – | MANAGER | 01/2008 | 25-50% |
| EDWARDS, PATRICIA, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2015 | < 5% |
| ROHE, PATRICK, EUGENE | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2020 | 25-50% |
| CARROLL, DAVID, MATTHEW | Individual | – | MEMBER | 01/2018 | 10-25% |
| Stancato, Nicholas, Anthony | Individual | – | CHIEF OPERATING OFFICER | 01/2020 | < 5% |