# Old Rock Asset Management LLC

> Old Rock Asset Management LLC is an SEC-registered investment advisory firm, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 14, 2026.

- CRD: 145748
- Filed as: OLD ROCK ASSET MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: January 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/145748
- AdvisorCensus page: https://advisorcensus.com/firm/old-rock-asset-management-llc-145748

## Quick answers

**How is Old Rock Asset Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Old Rock Asset Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Old Rock Asset Management LLC charge?**
Its Form ADV Part 2A brochure dated January 14, 2026 states: Hourly rate: $500 an hour (advisory services not covered by the fee agreement outlined above). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Old Rock Asset Management LLC registered with the SEC or a state?**
Old Rock Asset Management LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 145748.

**How much does Old Rock Asset Management LLC manage?**
Old Rock Asset Management LLC reports $191,577,912 in regulatory assets under management in its Form ADV filing dated January 14, 2026 (91% discretionary).

**How have Old Rock Asset Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Old Rock Asset Management LLC: Regulatory assets under management: $172,343,332 in the October 2021 data and $191,577,912 in the October 2026 data, up 11%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Old Rock Asset Management LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (8); insurance companies (1).

**Which custodians does Old Rock Asset Management LLC use?**
Old Rock Asset Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Old Rock Asset Management LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/145748

**Does Old Rock Asset Management LLC state an account minimum?**
Its Form ADV Part 2A brochure dated January 14, 2026 says: "Old Rock Asset Management generally requires new client accounts to be a minimum of $5,000,000."

**What changed in Old Rock Asset Management LLC's recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $173,510,066 to $191,577,912 (+10%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated January 14, 2026)

- Account minimum: $5,000,000

> Old Rock Asset Management generally requires new client accounts to be a minimum of $5,000,000.

- Hourly rate: $500 an hour (advisory services not covered by the fee agreement outlined above)

> If Old Rock Asset Management provides advisory services not covered by the fee agreement outlined above, the charge for such services will be on an hourly basis, generally at a rate of $500 per hour, depending upon the services provided.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $191,577,912
- Discretionary: $173,876,161
- Non-discretionary: $17,701,751

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 8 | $112,307,739 |
| Insurance companies | 1 | $79,270,173 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2015 (11 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $172,343,332 | 2 | March 22, 2021 |
| October 2022 | $180,415,171 | 2 | January 26, 2022 |
| October 2023 | $157,204,795 | 2 | January 24, 2023 |
| October 2024 | $165,729,243 | 2 | January 16, 2024 |
| October 2025 | $173,510,066 | 2 | January 16, 2025 |
| October 2026 | $191,577,912 | 2 | January 14, 2026 |

Regulatory assets under management: $172,343,332 in the October 2021 data and $191,577,912 in the October 2026 data, up 11%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $173,510,066 to $191,577,912 (+10%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Old Rock Asset Management LLC (CRD 145748): Form ADV filing data as of October 2026.