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ROCKWOOD CAPITAL, LLC
CRD 156663File 801-73731
APPROVED
Custody
Filing as of Jun 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$10.61B
Top 10% of cohort (national)
Discretionary AUM
$6.48B
Non-discretionary $4.13B
Clients
36
36 accounts
Employees
65
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 30, 2012
- Principal office
- 140 EAST 45TH STREET, 34TH FLOOR, NEW YORK, NY, 10017
- Phone
- 212-402-8500
- Website
- https://www.harrisonst.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $10.61B
- Discretionary AUM
- $6.48B
- Non-discretionary AUM
- $4.13B
- Discretionary accounts
- 24
- Non-discretionary accounts
- 12
- Total accounts
- 36
- AUM per client
- $294.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 36 | $10.61B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
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 | 70 | 65 | decreased by5 |
| Apr 1, 2026 | Clients | 28 | 36 | increased by8 |
| Apr 1, 2026 | AUM | $10,689,715,729 | $10,608,321,132 | decreased by$81,394,597 |
| Apr 1, 2026 | Accounts | 28 | 36 | increased by8 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 58 | 70 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 27 | 28 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $10,238,181,850 | $10,689,715,729 | increased by$451,533,879 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 27 | 28 | increased by1 |
| Apr 1, 2022 | Employees | 52 | 58 | increased by6 |
| Apr 1, 2022 | Clients | 23 | 27 | increased by4 |
| Apr 1, 2022 | AUM | $9,819,686,102 | $10,238,181,850 | increased by$418,495,748 |
| Apr 1, 2022 | Accounts | 23 | 27 | increased by4 |
| 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 “ROCKWOOD CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROCKWOOD CAPITAL” 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.