ROCKINGSTONE ADVISORS
ROCKINGSTONE ADVISORS LLC Legal Name
Adviser information for ROCKINGSTONE ADVISORS last updated from Form ADV on March 7th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 238 | $259.6M |
| Non-Discretionary | 1 | $11.0M |
| Total | 239 | $270.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9 | $1.8M |
| HNW Individuals | 53 | $268.8M |
| 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 | 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 | 62 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-77696 |
|---|---|
| SEC ERA File Number | 801-77696 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149592 |
| Legal Entity Identifier | None |
Principal Office
292 MAIN STREETSUITE 32
GREAT BARRINGTON
MA
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 212-430-2240, Fax: None
Chief Compliance Officer
BRANDT SAKAKEENY
MANAGING PARTNER AND CO-CIO
600 MAMARONECK AVE., STE 400
HARRISON
NY
United States
Tel:
212-430-2240
B*****@***********************M
(Full email address available in API data)
Regulatory Contact
ERIC KATZMAN
PARTNER AND CO-CIO
292 MAIN STREET
SUITE 32
GREAT BARRINGTON
MA
United States
Tel:
212-430-2240
E***@***********************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 |
|---|---|---|---|---|---|
| SAKAKEENY, BRANDT, AUGUSTUS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2009 | 50-75% |
| SAKAKEENY, MARGARET, C | Individual | – | MEMBER | 01/2009 | 25-50% |
| KATZMAN, ERIC, RICHARD | Individual | – | PARTNER AND CO-CHIEF INVESTMENT OFFICER | 09/2016 | < 5% |