{ "crd_number": 149592, "slug": "rockingstone-advisors-great-barrington-ma-149592", "primary_business_name": "ROCKINGSTONE ADVISORS", "legal_name": "ROCKINGSTONE ADVISORS LLC", "dbas": [], "city": "Great Barrington", "state": "MA", "country": "United States", "cbsa_code": "38340", "metro": { "cbsa_code": "38340", "common_name": "Pittsfield", "msa_name": "Pittsfield, MA", "path": "/advisors/ma/pittsfield" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2013-03-05", "years_registered": 13, "period": "2026-10-01", "filing_date": "2026-03-19", "carried_forward": false, "raum_total": 280098256.0, "raum_discretionary": 280098256.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 2087213.0, "count": 7 }, "high_net_worth_individuals": { "raum": 278011043.0, "count": 54 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "FL", "MA", "NY", "TX", "VA" ], "websites": [ "https://linkedin.com/COMPANY/384524", "https://rockingstoneadvisors.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/149592", "city_as_filed": "GREAT BARRINGTON", "url": "https://advisorcensus.com/firm/rockingstone-advisors-great-barrington-ma-149592", "display_name": "Rockingstone Advisors", "summary": "Rockingstone Advisors is an SEC-registered investment advisory firm in Great Barrington, MA, registered since 2013, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.", "citation": "AdvisorCensus. Rockingstone Advisors (CRD 149592): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Rockingstone Advisors compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Rockingstone Advisors reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Rockingstone Advisors located?", "a": "Rockingstone Advisors' principal office is in Great Barrington, MA, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Rockingstone Advisors registered with the SEC or a state?", "a": "Rockingstone Advisors is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 149592." }, { "q": "How much does Rockingstone Advisors manage?", "a": "Rockingstone Advisors reports $280,098,256 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary)." }, { "q": "How have Rockingstone Advisors' assets and staff changed since 2021?", "a": "In the Form ADV data for Rockingstone Advisors: Regulatory assets under management: $199,322,239 in the October 2021 data and $280,098,256 in the October 2026 data, up 41%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Rockingstone Advisors serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (54); individuals (other than high net worth individuals) (7)." }, { "q": "Which custodians does Rockingstone Advisors use?", "a": "Rockingstone Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Rockingstone Advisors report any disciplinary disclosures?", "a": "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/149592" }, { "q": "Does Rockingstone Advisors state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 19, 2026 says: \"In general, we require a minimum account size of $1,000,000, subject to a waiver at our discretion.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 199322239.0, "total_employees": 2, "filing_date": "2021-01-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 305989229.0, "total_employees": 2, "filing_date": "2022-02-01" }, { "period": "2023-10-01", "regulatory_assets_under_management": 270464700.0, "total_employees": 2, "filing_date": "2023-02-16" }, { "period": "2024-10-01", "regulatory_assets_under_management": 270625608.0, "total_employees": 2, "filing_date": "2024-03-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": 285789462.0, "total_employees": 2, "filing_date": "2025-02-19" }, { "period": "2026-10-01", "regulatory_assets_under_management": 280098256.0, "total_employees": 3, "filing_date": "2026-03-19" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 19, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$1,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "In general, we require a minimum account size of $1,000,000, subject to a waiver at our discretion." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 1000000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "In general, we require a minimum account size of $1,000,000, subject to a waiver at our discretion." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/rockingstone-advisors-great-barrington-ma-149592.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 7, "fewer_than_5": false, "raum": 2087213.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 54, "fewer_than_5": false, "raum": 278011043.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/149592", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }