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ROUND ROCK ADVISORS LLC
CRD 286007File 801-108989
APPROVED
Retail clients
Custody
Filing as of Jun 22, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 647 | 636 | decreased by11 |
| Apr 1, 2026 | Employees | 24 | 22 | decreased by2 |
| Apr 1, 2026 | Clients | 698 | 647 | decreased by51 |
| Apr 1, 2026 | AUM | $814,558,622 | $906,658,173 | increased by$92,099,551 |
| Apr 1, 2026 | Accounts | 2,126 | 1,935 | decreased by191 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 24 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 458 | 698 | increased by240 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $492,652,131 | $814,558,622 | increased by$321,906,491 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,531 | 2,126 | increased by595 |
| Apr 1, 2022 | Employees | 11 | 13 | increased by2 |
| Apr 1, 2022 | Clients | 503 | 458 | decreased by45 |
| Apr 1, 2022 | AUM | $261,103,895 | $492,652,131 | increased by$231,548,236 |
| Apr 1, 2022 | Accounts | 1,217 | 1,531 | increased by314 |
| 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 “ROUND ROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROUND ROCK” 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.