# Rook Financial LLC

> Rook Financial LLC is a state-registered investment advisory firm, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 29, 2026.

- CRD: 335543
- Filed as: ROOK FINANCIAL LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: September 29, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/335543
- AdvisorCensus page: https://advisorcensus.com/firm/rook-financial-llc-335543

## Quick answers

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

**Is Rook Financial LLC registered with the SEC or a state?**
Rook Financial LLC is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 335543.

**How much does Rook Financial LLC manage?**
Rook Financial LLC reports $5,897,128 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (100% discretionary).

**What types of clients does Rook Financial LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (25).

**Does Rook Financial 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/335543

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $5,897,128
- Discretionary: $5,897,128
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 25 | $5,765,655 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $131,473 |

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

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, IL, NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- rookfinancial.com
- Instagram @rookfinancial

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rook Financial LLC (CRD 335543): Form ADV filing data as of October 2026.