# Rockhouse Capital, LLC

> Rockhouse Capital, LLC is a state-registered investment advisory firm, registered since 2010, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.

- CRD: 152806
- Filed as: ROCKHOUSE CAPITAL, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/152806
- AdvisorCensus page: https://advisorcensus.com/firm/rockhouse-capital-llc-152806

## Quick answers

**How is Rockhouse Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rockhouse Capital, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Rockhouse Capital, LLC registered with the SEC or a state?**
Rockhouse Capital, LLC is a state-registered investment advisory firm, registered since 2010. Status as filed: APPROVED. CRD 152806.

**How much does Rockhouse Capital, LLC manage?**
Rockhouse Capital, LLC reports $6,318,269 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary).

**What types of clients does Rockhouse Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (23); individuals (other than high net worth individuals) (18).

**Does Rockhouse Capital, LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/152806

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $6,318,269
- Discretionary: $6,318,269
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 18 | $2,153,435 |
| High net worth individuals | 23 | $4,164,834 |

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

### Firm details
- Registered since: 2010 (16 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, NY, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/152806

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rockhouse Capital, LLC (CRD 152806): Form ADV filing data as of October 2026.