ROCKBRIDGE CAPITAL, LLC
Adviser information for ROCKBRIDGE CAPITAL, LLC last updated from Form ADV on March 29th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 112 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 22 | $4.3B |
| Non-Discretionary | 0 | $0 |
| Total | 22 | $4.3B |
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 | 22 | $4.3B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 22 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-74104 |
|---|---|
| SEC ERA File Number | 801-74104 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161078 |
| Legal Entity Identifier | None |
Principal Office
4124 WORTH AVENUECOLUMBUS
OH
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 614-246-2400, Fax: 614-246-2481
Chief Compliance Officer
ERIC B PHIPPS
4124 WORTH AVE
COLUMBUS
OH
United States
Tel:
614-750-1138
Fax:
614-246-2571
E*******@********************M
(Full email address available in API data)
Industry Affiliates
| BRIDGEPOINT HOSPITALITY MANAGEMENT, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NM DEVELOPER INVESTMENT HOLDINGS LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RB BRADENTON INVESTMENT HOLDINGS LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RB HIGHWATER MANAGER, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RB SCIOTO MANAGER LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RB-CIV CHERRY CREEK INVESTMENT HOLDINGS MANAGER LLC | Sponsor, GP, manager of pooled investment vehicles |
| RB-CIV SAVANNAH HOTEL INVESTMENT HOLDINGS LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS III LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS IV LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS IX LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS VI LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS VII LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBC PARTNERS VIII LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBI CLEVELAND HOTEL INVESTMENT HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
| RBI EAGLE HOTEL INVESTMENT HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
| RBI LOUISVILLE HOTEL INVESTMENT HOLDINGS II LLC | Sponsor, GP, manager of pooled investment vehicles |
| RBI LOUISVILLE INVESTMENT HOLDINGS III LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RBP MANAGER, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BRIDGEPOINT HOSPITALITY HOLDINGS LLC | Private Equity Fund | $14.4M | $2.0M | 25 |
| RB HIGHWATER HOLDINGS LLC | Real Estate Fund | $6.9M | $0.1M | 3 |
| RB HIGHWATER QO FUND LLC | Real Estate Fund | $4.1M | $0.1M | 17 |
| RB PARTNERS I LLC | Real Estate Fund | $422.6M | $50.0M | 1 |
| RB SCIOTO HOLDINGS, LLC | Real Estate Fund | $81.4M | $0.1M | 6 |
| RB SCIOTO QO FUND, LLC | Real Estate Fund | $20.6M | $0.1M | 64 |
| RB-CIV CHERRY CREEK INVESTMENT HOLDINGS LLC | Real Estate Fund | $25.6M | $0.1M | 40 |
| RB-CIV SAVANNAH INVESTMENT HOLDINGS LLC | Real Estate Fund | $19.4M | $0.1M | 69 |
| RBI CLEVELAND INVESTMENT HOLDINGS LLC | Real Estate Fund | $32.8M | $0.1M | 26 |
| RBI DELRAY HOLDINGS LLC | Real Estate Fund | $20.0M | $0.1M | 5 |
| RBI EAGLE INVESTMENT HOLDINGS LLC | Real Estate Fund | $8.8M | $0.1M | 41 |
| RBI LOUISVILLE III HOLDINGS LLC | Real Estate Fund | $3.5M | $0.1M | 27 |
| RBI LOUISVILLE INVESTMENT HOLDINGS II LLC | Real Estate Fund | $19.2M | $0.1M | 35 |
| RBI NM INVESTMENT HOLDINGS LLC | Real Estate Fund | $79.7M | $0.1M | 40 |
| ROCKBRIDGE HOSPITALITY FUND IX, LP | Real Estate Fund | $158.8M | $1.0M | 10 |
| ROCKBRIDGE HOSPITALITY FUND VI FEEDER LLC | Real Estate Fund | $47.1M | $1.0M | 5 |
| ROCKBRIDGE HOSPITALITY FUND VI L.P. | Real Estate Fund | $803.0M | $1.0M | 73 |
| ROCKBRIDGE HOSPITALITY FUND VII FEEDER LLC | Real Estate Fund | $66.7M | $1.0M | 6 |
| ROCKBRIDGE HOSPITALITY FUND VII L.P. | Real Estate Fund | $971.7M | $1.0M | 117 |
| ROCKBRIDGE HOSPITALITY FUND VIII L.P. | Real Estate Fund | $1,325.5M | $1.0M | 217 |
| ROCKBRIDGE PORTFOLIO FUND I L.P. | Real Estate Fund | $315.4M | $1.0M | 17 |
| ROCKBRIDGE PORTFOLIO FUND II LP | Real Estate Fund | $75.1M | $1.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MERKEL, JAMES, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2008 | < 5% |
| KREBS, KENNETH, JEFFREY | Individual | – | EXECUTIVE VICE PRESIDENT | 05/2022 | < 5% |
| MERKEL, JAMES, THOMAS | Individual | RB FOUNDERS, LLC | CEO & PRESIDENT | 01/2017 | > 75% |
| HAYMES, JOHN, DAVID | Individual | – | CHIEF FINANCIAL OFFICER | 07/2017 | < 5% |
| PHIPPS, ERIC, BRYAN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2017 | < 5% |
| ROCKBRIDGE HOLDINGS, LLC | Domestic Entity | ROCKBRIDGE CAPITAL HOLDINGS, LLC | SOLE MEMBER | 08/2022 | > 75% |
| ALEXANDER, BRETT, MCFADDEN | Individual | – | EXECUTIVE VICE PRESIDENT | 03/2016 | < 5% |
| Edwards, Tamre, Farid | Individual | – | GENERAL COUNSEL | 06/2022 | < 5% |
| ROCKBRIDGE CAPITAL HOLDINGS, LLC | Domestic Entity | – | SOLE MEMBER | 08/2022 | > 75% |
| RB FOUNDERS, LLC | Domestic Entity | ROCKBRIDGE HOLDINGS, LLC | SOLE MEMBER | 01/2018 | > 75% |