{
  "crd_number": 286007,
  "slug": "round-rock-advisors-llc-wilton-ct-286007",
  "primary_business_name": "ROUND ROCK ADVISORS LLC",
  "legal_name": "ROUND ROCK ADVISORS LLC",
  "dbas": [
    "ARMSTRONG SHAW",
    "THOMSON, HORSTMANN & BRYANT ASSET MANAGEMENT"
  ],
  "city": "Wilton",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-01-23",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-06-22",
  "carried_forward": false,
  "raum_total": 906658173.0,
  "raum_discretionary": 906658173.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 22,
  "advisory_employees": 12,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 54794154.0,
      "count": 11,
      "description": "TRUST ACCOUNTS"
    },
    "charitable": {
      "raum": 5935556.0,
      "count": 5
    },
    "individuals": {
      "raum": 133776846.0,
      "count": 420
    },
    "pension_profit_sharing": {
      "raum": 22564184.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 595407200.0,
      "count": 202
    },
    "pooled_investment_vehicles": {
      "raum": 72080470.0,
      "count": 1
    },
    "corporations_other_businesses": {
      "raum": 22099763.0,
      "count": 8
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "CT",
    "FL",
    "IL",
    "LA",
    "MA",
    "MD",
    "NC",
    "NH",
    "NJ",
    "NY",
    "PA",
    "SC",
    "TX",
    "VA",
    "WA"
  ],
  "websites": [
    "https://linkedin.com/company/roundrockadvisors/about",
    "https://linkedin.com/company/thbwealthmgt/about",
    "https://roundrockadvisors.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/286007",
  "city_as_filed": "WILTON",
  "url": "https://advisorcensus.com/firm/round-rock-advisors-llc-wilton-ct-286007",
  "display_name": "Round Rock Advisors LLC",
  "summary": "Round Rock Advisors LLC is an SEC-registered investment advisory firm in Wilton, CT, registered since 2017, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated June 22, 2026.",
  "citation": "AdvisorCensus. Round Rock Advisors LLC (CRD 286007): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Round Rock Advisors LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Round Rock Advisors LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Round Rock Advisors LLC located?",
      "a": "Round Rock Advisors LLC's principal office is in Wilton, CT, according to its Form ADV; the July 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Round Rock Advisors LLC registered with the SEC or a state?",
      "a": "Round Rock Advisors LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 286007."
    },
    {
      "q": "How much does Round Rock Advisors LLC manage?",
      "a": "Round Rock Advisors LLC reports $906,658,173 in regulatory assets under management in its Form ADV filing dated June 22, 2026 (100% discretionary)."
    },
    {
      "q": "How have Round Rock Advisors LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Round Rock Advisors LLC: Regulatory assets under management: $261,103,895 in the October 2021 data and $906,658,173 in the October 2026 data, up 247%. Total employees: 11 in October 2021 and 22 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Round Rock Advisors LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (420); high net worth individuals (202); other (11)."
    },
    {
      "q": "Which custodians does Round Rock Advisors LLC use?",
      "a": "Round Rock Advisors 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."
    },
    {
      "q": "Does Round Rock Advisors LLC 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/286007"
    },
    {
      "q": "Does Round Rock Advisors LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"Round Rock generally does not impose a minimum account size for establishing a relationship.\""
    },
    {
      "q": "What changed in Round Rock Advisors LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 14 to 12. Regulatory assets under management went from $814,558,622 to $906,658,173 (+11%). No longer lists an office in White Plains, NY."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 261103895.0,
      "total_employees": 11,
      "filing_date": "2021-02-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 492652131.0,
      "total_employees": 13,
      "filing_date": "2022-04-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 484811266.0,
      "total_employees": 16,
      "filing_date": "2023-09-15"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 673293156.0,
      "total_employees": 19,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 814558622.0,
      "total_employees": 24,
      "filing_date": "2025-07-08"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 906658173.0,
      "total_employees": 22,
      "filing_date": "2026-06-22"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 14 to 12.",
        "Regulatory assets under management went from $814,558,622 to $906,658,173 (+11%).",
        "No longer lists an office in White Plains, NY."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "Round Rock generally does not impose a minimum account size for establishing a relationship."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Round Rock generally does not impose a minimum account size for establishing a relationship."
    ],
    "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
    }
  ],
  "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/round-rock-advisors-llc-wilton-ct-286007.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 420,
      "fewer_than_5": false,
      "raum": 133776846.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 202,
      "fewer_than_5": false,
      "raum": 595407200.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 72080470.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 22564184.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 5,
      "fewer_than_5": false,
      "raum": 5935556.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 8,
      "fewer_than_5": false,
      "raum": 22099763.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 11,
      "fewer_than_5": false,
      "raum": 54794154.0
    }
  ],
  "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/286007",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}