# Rockingstone Advisors

> 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.

- CRD: 149592
- Filed as: ROCKINGSTONE ADVISORS
- Legal name: Rockingstone Advisors LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Great Barrington, MA
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/149592
- AdvisorCensus page: https://advisorcensus.com/firm/rockingstone-advisors-great-barrington-ma-149592

## Quick answers

**How is Rockingstone Advisors compensated?**
On its Form ADV (Item 5.E, October 2026), Rockingstone Advisors reports these compensation arrangements: a percentage of assets under its management.

**Where is Rockingstone Advisors located?**
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).

**Is Rockingstone Advisors registered with the SEC or a state?**
Rockingstone Advisors is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 149592.

**How much does Rockingstone Advisors manage?**
Rockingstone Advisors reports $280,098,256 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

**How have Rockingstone Advisors' assets and staff changed since 2021?**
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.

**What types of clients does Rockingstone Advisors serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (54); individuals (other than high net worth individuals) (7).

**Which custodians does Rockingstone Advisors use?**
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.

**Does Rockingstone Advisors 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/149592

**Does Rockingstone Advisors state an account minimum?**
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."

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 19, 2026)

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> In general, we require a minimum account size of $1,000,000, subject to a waiver at our discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

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

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: $280,098,256
- Discretionary: $280,098,256
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 7 | $2,087,213 |
| High net worth individuals | 54 | $278,011,043 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2013 (13 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, MA, NY, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Delray Beach, FL
- Harrison, NY

### Websites listed on Form ADV (Item 1.I)
- rockingstoneadvisors.com
- LinkedIn @384524

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $199,322,239 | 2 | January 28, 2021 |
| October 2022 | $305,989,229 | 2 | February 1, 2022 |
| October 2023 | $270,464,700 | 2 | February 16, 2023 |
| October 2024 | $270,625,608 | 2 | March 7, 2024 |
| October 2025 | $285,789,462 | 2 | February 19, 2025 |
| October 2026 | $280,098,256 | 3 | March 19, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rockingstone Advisors (CRD 149592): Form ADV filing data as of October 2026.