ROCK POINT ADVISORS, LLC

Advisory Business

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

Employees

Total Number of Employees	9
Investment Advisory/Research	5
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
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	483	$527.3M
Non-Discretionary	0	$0
Total	483	$527.3M

Clients

Type	Number	RAUM
Individuals	105	$53.1M
HNW Individuals	128	$435.7M
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	4	$4.8M
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	6	$33.6M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	51-100

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	10.0M
Both for Same	0

Portfolio Manager to Program	Sponsor
MANAGED ACCOUNTS CONSULTING	UBS FINANCIAL SERVICES INC.

Identifiers

SEC RIA File Number	801-62923
SEC ERA File Number	801-62923
SEC CIK Numbers	1301540
SEC CRD Numbers	130825
Legal Entity Identifier	None

Principal Office

77 COLLEGE STREET, 4TH FLOOR
BURLINGTON
VT
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic