{ "crd_number": 157127, "slug": "lime-rock-westport-ct-157127", "primary_business_name": "LIME ROCK", "legal_name": "LIME ROCK MANAGEMENT LP", "dbas": [ "LIME ROCK NEW ENERGY", "LIME ROCK PARTNERS", "LIME ROCK RESOURCES" ], "city": "Westport", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-03-30", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 5478458404.0, "raum_discretionary": 5478458404.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 198, "advisory_employees": 55, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 5478458404.0, "count": 23 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "CT" ], "websites": [ "https://limerockresources.com", "https://linkedin.com/COMPANY/LIME-ROCK-NEW-ENERGY", "https://linkedin.com/COMPANY/LIME-ROCK-PARTNERS", "https://lrnewenergy.com", "https://lrpartners.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157127", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "WESTPORT", "url": "https://advisorcensus.com/firm/lime-rock-westport-ct-157127", "display_name": "Lime Rock", "summary": "Lime Rock is an SEC-registered investment advisory firm in Westport, CT, registered since 2012, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Lime Rock (CRD 157127): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Lime Rock compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Lime Rock reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Lime Rock located?", "a": "Lime Rock's principal office is in Westport, CT, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Lime Rock registered with the SEC or a state?", "a": "Lime Rock is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 157127." }, { "q": "How much does Lime Rock manage?", "a": "Lime Rock reports $5,478,458,404 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Lime Rock's assets and staff changed since 2021?", "a": "In the Form ADV data for Lime Rock: Regulatory assets under management: $5,739,854,631 in the October 2021 data and $5,478,458,404 in the October 2026 data, down 5%. Total employees: 203 in October 2021 and 198 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Lime Rock serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (23)." }, { "q": "Does Lime Rock report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/157127" }, { "q": "What changed in Lime Rock's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 49 to 55. Regulatory assets under management went from $6,691,703,999 to $5,478,458,404 (-18%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 5739854631.0, "total_employees": 203, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 9118157401.0, "total_employees": 212, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 11218052132.0, "total_employees": 218, "filing_date": "2023-04-14" }, { "period": "2024-10-01", "regulatory_assets_under_management": 12667511156.0, "total_employees": 213, "filing_date": "2024-09-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": 6691703999.0, "total_employees": 204, "filing_date": "2025-04-08" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5478458404.0, "total_employees": 198, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 49 to 55.", "Regulatory assets under management went from $6,691,703,999 to $5,478,458,404 (-18%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/lime-rock-westport-ct-157127.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 23, "fewer_than_5": false, "raum": 5478458404.0 } ], "disclosure_line": "Reports 3 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/157127", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }