Rock One Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Rock One Advisors serves individuals, high-net-worth individuals, trusts, estates, charitable organizations and pension/profit-sharing plans, offering asset management, financial planning and consulting, and ongoing retirement plan consulting. The firm reports managing roughly $3.7 million on a discretionary basis for a small client base of about 29 relationships and constructs portfolios using public and private securities, including stocks, bonds, ETFs, mutual funds and options.
The firm emphasizes continuous, individualized account supervision with at least quarterly reviews and permits clients to impose reasonable investment restrictions on managed portfolios. Its investment implementation spans long-term buy-and-hold positions to shorter-term trading, margin transactions and option-writing strategies, and cash balances are typically placed in money market funds, CDs or high-grade short-term instruments.
Compared with many solo independent advisers, Rock One’s provision of retirement plan consulting with an acknowledgment of ERISA fiduciary responsibilities is an uncommon service offering, and its planning scope includes corporate and tax-related work such as cost segregation studies, corporate structure advice and real estate analysis. The brochure also discloses that the firm’s principal maintains an outside music publishing business occupying roughly 10% of time and that the adviser uses active trading tools (options, margin), which may be relevant for prospective clients evaluating fit.
Client services
Expertise
Fee options
Flat fees generally range from $1,500 to $50,000 for financial planning and consulting services.
$250,000 - $499,999.99: 1.5% $500,000 - $749,999.99: 1.4% $750,000 - $999,999.99: 1.3% $1,000,000 - $2,000,000: 1.2% $2,000,001 - $5,000,000: 1.1% $5,000,001 - $10,000,000: 1.0% Over $10,000,000+: Negotiable
Account minimum: $250,000 Minimum fee: Minimum annual fee of $3,600 ($900 quarterly) for asset management if minimum assets are not met; minimum fee of $1,500 for written financial plans. Fee-only: Flat fees generally range from $1,500 to $50,000 for financial planning and consulting services.
Main office
Milton GA
Advisors at this office
1
Most active in
Georgia · Louisiana · Texas
Also doing business as
Rock One Advisors · Rock One Advisors, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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