Rockingstone Advisors LLC (New York)

Name: Rockingstone Advisors LLC
Address: 200 Park Avenue, New York, NY, 10166
Telephone: 212-430-2240

Rockingstone Advisors LLC is a mid-sized advisory firm based in New York. It manages $92.49 million of regulatory assets for 85 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Massachusetts and New York.

Rockingstone Advisors provides portfolio management for individuals and small businesses, selection of other advisers, and corporate advisory services to certain clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockingstone Advisors: assets under management

The assets under management (AUM) of Rockingstone Advisors LLC is $92.49 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 40% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $92.49 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.09 million each.

Rockingstone Advisors has custody of $1.22 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 33% of the total AUM. The second-largest asset type is exchange traded securities, which make up 33% of the firm’s portfolio. Investments in cash and cash equivalents form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockingstone Advisors LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rockingstone Advisors serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Rockingstone Advisors is high net worth individuals with 33 clients and $90.85 million of assets under management. Among the 8 most similar advisory firms, Rockingstone Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $92.49 million for 42 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Rockingstone Advisors doesn't advise any private funds.

Careers at Rockingstone Advisors LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brandt Augustus Sakakeeny	Chief compliance officer	1 Jan 2009	75% - 100%	1709197
Margaret C Sakakeeny	Member	1 Jan 2009	25% - 50%	5643079
Eric Richard Katzman	Partner and co-chief investment officer	1 Sep 2016	Other	2300355

Based in New York

The principal office where Rockingstone Advisors LLC performs its advisory services is located at 200 Park Avenue, New York, NY 10166, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-430-2240. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at rockingstoneadvisors.com.