Overview
Assets Under Management: $13.0 billion
Headquarters: NORWALK, CT
Frequently Asked Questions
ROCATON INVESTMENT ADVISORS is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #120451), ROCATON INVESTMENT ADVISORS is subject to fiduciary duty under federal law.
ROCATON INVESTMENT ADVISORS is headquartered in NORWALK, CT.
According to their SEC Form ADV, ROCATON INVESTMENT ADVISORS offers financial planning, portfolio management for individuals, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisors, and educational seminars and workshops. View all service details ↓
ROCATON INVESTMENT ADVISORS manages $13.0 billion in client assets according to their SEC filing dated April 12, 2024.
According to their SEC Form ADV, ROCATON INVESTMENT ADVISORS serves high-net-worth individuals, pooled investment vehicles, institutional clients, and pension and profit-sharing plans. View client details ↓
Services Offered
Services: Financial Planning, Portfolio Management for Individuals, Portfolio Management for Pooled Investment Vehicles, Portfolio Management for Institutional Clients, Pension Consulting, Investment Advisor Selection, Educational Seminars
Clients
Total Client Accounts: 128
Discretionary Accounts: 127
Non-Discretionary Accounts: 1
Regulatory Filings
CRD Number: 120451
Filing ID: 1865714
Last Filing Date: 2024-04-12 12:16:00