# Rock Harbor Partners LLC

> Rock Harbor Partners LLC is an SEC-registered investment advisory firm in Larchmont, NY, registered since 2023, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 322545
- Filed as: ROCK HARBOR PARTNERS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Larchmont, NY
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/322545
- AdvisorCensus page: https://advisorcensus.com/firm/rock-harbor-partners-llc-larchmont-ny-322545

## Quick answers

**How is Rock Harbor Partners LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rock Harbor Partners LLC reports these compensation arrangements: fixed fees (other than subscription fees); performance-based fees; other.

**Where is Rock Harbor Partners LLC located?**
Rock Harbor Partners LLC's principal office is in Larchmont, NY, according to its Form ADV.

**Is Rock Harbor Partners LLC registered with the SEC or a state?**
Rock Harbor Partners LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 322545.

**How much does Rock Harbor Partners LLC manage?**
Rock Harbor Partners LLC reports $2,665,606,649 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (4% discretionary).

**How have Rock Harbor Partners LLC's assets and staff changed since 2023?**
In the Form ADV data for Rock Harbor Partners LLC: Regulatory assets under management: $2,097,867,291 in the October 2023 data and $2,665,606,649 in the October 2026 data, up 27%. Total employees: 3 in October 2023 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rock Harbor Partners LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (62); pooled investment vehicles (other than investment companies and business development companies) (1).

**Which custodians does Rock Harbor Partners LLC use?**
Rock Harbor Partners LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Rock Harbor Partners 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/322545

**What changed in Rock Harbor Partners LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $2,326,798,331 to $2,665,606,649 (+15%).

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $2,665,606,649
- Discretionary: $95,269,647
- Non-discretionary: $2,570,337,002

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 62 | $2,551,425,658 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $66,649,712 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | Fewer than 5 | $47,531,279 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- 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 2023 | $2,097,867,291 | 3 | August 3, 2023 |
| October 2024 | $2,120,160,114 | 3 | March 20, 2024 |
| October 2025 | $2,326,798,331 | 4 | March 27, 2025 |
| October 2026 | $2,665,606,649 | 4 | March 27, 2026 |

Regulatory assets under management: $2,097,867,291 in the October 2023 data and $2,665,606,649 in the October 2026 data, up 27%.
Total employees: 3 in October 2023 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $2,326,798,331 to $2,665,606,649 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rock Harbor Partners LLC (CRD 322545): Form ADV filing data as of October 2026.