{ "crd_number": 310089, "slug": "greenrock-asset-management-llc-310089", "primary_business_name": "GREENROCK ASSET MANAGEMENT LLC", "legal_name": "GREENROCK ASSET MANAGEMENT LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2020-08-17", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-20", "carried_forward": false, "raum_total": 5500000.0, "raum_discretionary": 5500000.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 2000000.0, "count": 10 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 3500000.0, "count": 2, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "hourly", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "WA" ], "websites": [ "https://greenrockam.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310089", "listing_state": "WA", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/greenrock-asset-management-llc-310089", "display_name": "Greenrock Asset Management LLC", "summary": "Greenrock Asset Management LLC is a state-registered investment advisory firm, registered since 2020, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.", "citation": "AdvisorCensus. Greenrock Asset Management LLC (CRD 310089): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Greenrock Asset Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Greenrock Asset Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; performance-based fees." }, { "q": "Is Greenrock Asset Management LLC registered with the SEC or a state?", "a": "Greenrock Asset Management LLC is a state-registered investment advisory firm, registered since 2020. Status as filed: APPROVED. CRD 310089." }, { "q": "How much does Greenrock Asset Management LLC manage?", "a": "Greenrock Asset Management LLC reports $5,500,000 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary)." }, { "q": "What types of clients does Greenrock Asset Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (10); high net worth individuals (2)." }, { "q": "Does Greenrock Asset Management LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/310089" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/greenrock-asset-management-llc-310089.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 10, "fewer_than_5": false, "raum": 2000000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 2, "fewer_than_5": true, "raum": 3500000.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310089", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }