A complete list of active advisors currently associated with Rock One Advisors, LLC

Warmer can help you find a great advisor at Rock One Advisors, LLC or one who fits your needs even better.

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.

To learn more about the advisors currently working at Rock One Advisors, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.