AdvisorCensus / Financial advisors / Texas / Houston / Riverrock Asset Management LLC
Riverrock Asset Management LLC is an SEC-registered investment advisory firm in Houston, TX, registered since 2023, with no regulatory assets under management reported in its Form ADV filing dated April 1, 2026.
Quick answers
From the filingHow is Riverrock Asset Management LLC compensated?
On its Form ADV (Item 5.E, October 2026), Riverrock Asset Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other.
What does Riverrock Asset Management LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated April 1, 2026 states: Asset-based fee: 1% to 1.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Riverrock Asset Management LLC located?
Riverrock Asset Management LLC's principal office is in Houston, TX, according to its Form ADV.
Is Riverrock Asset Management LLC registered with the SEC or a state?
Riverrock Asset Management LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 147691.
How have Riverrock Asset Management LLC's assets and staff changed since 2023?
In the Form ADV data for Riverrock Asset Management LLC: Regulatory assets under management: $170,010,856 in the October 2023 data and $126,036,754 in the October 2025 data, down 26%. Total employees: 13 in October 2023 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.
Does Riverrock 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/147691
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1% to 1.5% a year (a range, as the brochure states it)
The brochure's wording
Management fees paid by the Funds range from 1% to 1.5% per annum and are generally based on capital commitments, a percentage of a Fund’s portfolio value, or (in the case of the Longevity Fund) the fair market value of the Longevity Fund’s assets.
As stated in the firm's Form ADV Part 2A brochure dated April 1, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2023 (3 years)
- Employees
- Total: 5. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 5 | April 1, 2026 |
| October 2025 | $126,036,754 | 5 | March 31, 2025 |
| October 2024 | $148,313,599 | 7 | July 26, 2024 |
| October 2023 | $170,010,856 | 13 | May 23, 2023 |
Regulatory assets under management: $170,010,856 in the October 2023 data and $126,036,754 in the October 2025 data, down 26%.
Total employees: 13 in October 2023 and 5 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Riverrock Asset Management LLC (CRD 147691): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/riverrock-asset-management-llc-houston-tx-147691