# 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.

- CRD: 147691
- Filed as: RIVERROCK ASSET MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: April 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/147691
- AdvisorCensus page: https://advisorcensus.com/firm/riverrock-asset-management-llc-houston-tx-147691

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees
- Other

### Fees and minimums (Form ADV Part 2A brochure dated April 1, 2026)

- Asset-based fee: 1% to 1.5% a year (a range, as the brochure states it)

> 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 brochure. Fees can differ by service and may be negotiable.

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Not reported | $0 |
| High net worth individuals | Not reported | $0 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- riverrockam.com
- LinkedIn @riverrock-group

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $170,010,856 | 13 | May 23, 2023 |
| October 2024 | $148,313,599 | 7 | July 26, 2024 |
| October 2025 | $126,036,754 | 5 | March 31, 2025 |
| October 2026 | Not reported | 5 | April 1, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Riverrock Asset Management LLC (CRD 147691): Form ADV filing data as of October 2026.