Round Rock Advisors LLC

Registered investment adviser · Wilton, CT · CRD #286007

Form ADV data as of 2026-09-01

Regulatory assets

$906.7 million

Total accounts

1,935

Employees

Disclosure events

Firm details

Website: http://roundrockadvisors.com/
Telephone: (203) 920-4774
SEC file number: 801-108989
Most recent Form ADV filing: 2026-06-22
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$906.7 million
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$906.7 million
Discretionary accounts	1,935
Non-discretionary accounts	0
Total accounts	1,935
Regulatory assets under management attributable to non-U.S. persons	$86.8 million

People

Total employees (excluding clerical)	22
Employees performing investment advisory functions (including research)	12
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	11
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	7
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	No
Client funds and securities held in the firm's custody	$169.4 million
Clients for whom the firm has custody	335
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPension consulting servicesSelection of other advisers (including private fund managers)

Affiliated related persons

Accountant or accounting firm

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	420	$133.8 million
High net worth individuals	202	$595.4 million
Pooled investment vehicles (other than investment companies and BDCs)	1	$72.1 million
Pension and profit sharing plans (not the participants or government plans)	Not reported	$22.6 million
Charitable organizations	5	$5.9 million
Corporations or other businesses not listed above	8	$22.1 million
Other	11	$54.8 million