ROOTSTOCK ADVISORS
ROOTSTOCK INVESTMENT MANAGEMENT, LLC. Legal Name
Adviser information for ROOTSTOCK ADVISORS last updated from Form ADV on March 27th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 173 | $397.2M |
| Non-Discretionary | 18 | $98.6M |
| Total | 191 | $495.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $3.2M |
| HNW Individuals | 18 | $483.2M |
| 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 | <5 | $9.5M |
| 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 | 31 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-78025 |
|---|---|
| SEC ERA File Number | 801-78025 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167665 |
| Legal Entity Identifier | None |
Principal Office
2605 NICHOLSON ROADBUILDING 5, SUITE 5240
SEWICKLEY
PA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 412-205-8822, Fax: None
Chief Compliance Officer
GREGORY SIMPSON
MANAGING MEMBER
2605 NICHOLSON ROAD
BUILDING 5, SUITE 5240
SEWICKLEY
PA
United States
Tel:
412-205-8822
G***@********************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 |
|---|---|---|---|---|---|
| SIMPSON, GREGORY, JAMES | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 04/2013 | > 75% |