# Rock Elm Capital Management LLC

> Rock Elm Capital Management LLC is a state-registered investment advisory firm in Darien, CT, registered since 2017, with no regulatory assets under management reported in its Form ADV filing dated March 28, 2026.

- CRD: 287783
- Filed as: ROCK ELM CAPITAL MANAGEMENT LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Darien, CT
- Filing period: October 2026
- Form ADV filing dated: March 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/287783
- AdvisorCensus page: https://advisorcensus.com/firm/rock-elm-capital-management-llc-darien-ct-287783

## Quick answers

**How is Rock Elm Capital Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rock Elm Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rock Elm Capital Management LLC located?**
Rock Elm Capital Management LLC's principal office is in Darien, CT, according to its Form ADV.

**Is Rock Elm Capital Management LLC registered with the SEC or a state?**
Rock Elm Capital Management LLC is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 287783.

**Does Rock Elm Capital 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/287783

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2017 (9 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- rockelmcapital.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rock Elm Capital Management LLC (CRD 287783): Form ADV filing data as of October 2026.