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ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
CRD 115754File 801-60639
APPROVED
Retail clients
Custody
Filing as of Jul 14, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.84B
Top 25% of cohort (national)
Discretionary AUM
$1.79B
Non-discretionary $50.8M
Clients
1,587
4,133 accounts
Employees
18
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Oct 18, 2001
- Principal office
- 220 SOUTH WARREN STREET, 9TH FLOOR, SYRACUSE, NY, 13202
- Phone
- 315-671-0588
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.84B
- Discretionary AUM
- $1.79B
- Non-discretionary AUM
- $50.8M
- Discretionary accounts
- 4,057
- Non-discretionary accounts
- 76
- Total accounts
- 4,133
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 19 | $223.2M |
| Charitable organizations | 43 | $180.7M |
| High net worth individuals | 316 | $1.03B |
| Pension and profit sharing plans | 7 | $79.3M |
| Individuals (other than high net worth individuals) | 1,202 | $326.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 21 | 18 | decreased by3 |
| Apr 1, 2026 | Clients | 1,629 | 1,587 | decreased by42 |
| Apr 1, 2026 | AUM | $1,660,732,364 | $1,837,441,861 | increased by$176,709,497 |
| Apr 1, 2026 | Accounts | 4,108 | 4,133 | increased by25 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 21 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,620 | 1,629 | increased by9 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,571,201,224 | $1,660,732,364 | increased by$89,531,140 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,750 | 4,108 | increased by358 |
| Apr 1, 2022 | Employees | 16 | 17 | increased by1 |
| Apr 1, 2022 | Clients | 1,626 | 1,620 | decreased by6 |
| Apr 1, 2022 | AUM | $1,030,999,133 | $1,571,201,224 | increased by$540,202,091 |
| Apr 1, 2022 | Accounts | 3,231 | 3,750 | increased by519 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ROCKBRIDGE INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROCKBRIDGE INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.