Rockdale Financial Services, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Rockdale Financial Services serves individual and high‑net‑worth clients as well as pension and profit‑sharing plans, offering non‑discretionary investment advisory services and, when requested, standalone financial planning and consulting. The firm provides ongoing portfolio management largely through allocations to mutual funds, ETFs and unaffiliated independent managers, and delivers periodic reporting and reviews to clients.
The adviser operates principally on a non‑discretionary basis—its ADV discloses substantial non‑discretionary AUM—and therefore makes recommendations that require client approval before trades are executed; it also accepts trustee‑directed ERISA plan engagements and provides quarterly statements and consultative support. Rockdale employs both fundamental and technical analysis across long‑term, short‑term and trading strategies and may incorporate third‑party reporting tools that aggregate excluded assets for comprehensive reporting.
Distinctive aspects of the firm include a multi‑office operating structure (seven offices) and participation as a participating adviser in an unaffiliated wrap fee program sponsored by Beacon Capital Management, arrangements that can affect trade execution and commission negotiation for wrap accounts. The firm also discloses affiliations with registered representatives who may offer commission products through a broker‑dealer relationship, while stating that its advisory business remains fee‑based and such commission business is limited.
Client services
Expertise
Fee options
Fixed fees for financial planning generally range from $1,000 to $15,000
0.40% to 1.65% depending on account size, complexity, and security types; fee is negotiable
Clients may purchase products on a commission basis through Cetera; commissions vary and may include 12b-1 fees
Hourly consulting rates generally range from $150 to $500
Account minimum: $50,000 Minimum fee: Minimum annual fee of 0.40% for Beacon Capital Management Program portion of advisory fee Fee-only: Fixed fees for financial planning range from $1,000 to $15,000; hourly rates from $150 to $500
Main office
See office99 Corbett Way, Suite 103
Eatontown NJ 07724
Advisors at this office
2
Offices (2)
Most active in
Florida · New Jersey · Pennsylvania · Texas
Also doing business as
Rockdale Associates, Inc. · Rockdale Financial Services Inc. · Rockdale Financial Services, Inc.
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
Quick links
Advisors at this firm
Raymond B
Series 63, Series 65
Minneola, FL
Rockdale Financial Services, Inc.
Raymond Bock III is a financial advisor at Rockdale Financial Services, Inc. with 31 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Cetera Advisors LLC and Honor Ridge Academy in prior roles. Outside of finance, he is involved in a talent agency focused on acting. Rockdale Financial Services serves individual and high-net-worth clients as well as pension and profit-sharing plans, providing non-discretionary investment advisory services and standalone financial planning. The firm employs both fundamental and technical analysis and maintains a multi-office structure while participating in an unaffiliated wrap fee program.
Stephen R
Series 63
Eatontown, NJ
Rockdale Financial Services, Inc.
Stephen Richman is a financial advisor at Rockdale Financial Services, Inc. with 46 years of industry experience. He holds a Series 63 designation and has held positions at multiple Cetera entities and other financial firms since 1990. In addition to his advisory work, he serves as president and CEO of Rockdale Financial Services and is involved in sales for prepaid legal services and fixed insurance products. Rockdale Financial Services provides non-discretionary investment advisory services, financial planning, and consulting to individual and high-net-worth clients, as well as pension and profit-sharing plans. The firm manages portfolios primarily through mutual funds, ETFs, and independent managers, employing fundamental and technical analysis across various strategies.
Guy P
Series 63, Series 65
Eatontown, NJ
Rockdale Financial Services, Inc.
Guy Paredes is a financial advisor with Rockdale Financial Services, Inc., holding Series 63 and Series 65 credentials and more than 40 years of industry experience. He has worked at Rockdale Financial Services since 2014 and has prior experience with Cetera and Imagine Retirement, LLC. Rockdale Financial Services serves individual and high-net-worth clients as well as pension and profit-sharing plans with non-discretionary investment advisory services. The firm primarily manages portfolios through allocations to mutual funds, ETFs, and independent managers, providing periodic reporting and reviews while employing both fundamental and technical analysis across various investment strategies.
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