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ROUND ROCK ADVISORS LLC
CRD 286007File 801-108989
APPROVED
Retail clients
Custody
Filing as of Jun 22, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$906.7M
Above cohort median (national)
Discretionary AUM
$906.7M
Clients
636
1,935 accounts
Employees
22
Above cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jan 23, 2017
- Principal office
- 187 DANBURY ROAD, SUITE 201, WILTON, CT, 06897
- Phone
- (203) 920-4774
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $906.7M
- Discretionary AUM
- $906.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,935
- Non-discretionary accounts
- 0
- Total accounts
- 1,935
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 8 | $22.1M |
| Charitable organizations | 5 | $5.9M |
| High net worth individuals | 202 | $595.4M |
| Pooled investment vehicles | 1 | $72.1M |
| Pension and profit sharing plans | Fewer than 5 | $22.6M |
| Individuals (other than high net worth individuals) | 420 | $133.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for pooled investment vehicles
- 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
- No
- 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 |
|---|---|---|---|
| Aug 17, 2026 | Clients | 647 | 636 |
| Aug 12, 2026 | Registration | — | APPROVED |
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.