Rockhouse Capital, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Rockhouse Capital provides individualized investment management to individuals (including high net worth clients), trusts, estates, charitable organizations and business entities, typically charging percentage-of-assets-under-management and constructing portfolios of stocks, bonds, mutual funds and ETFs. The firm emphasizes personalized financial profiling and ongoing portfolio oversight to align investments with each client’s stated objectives.
The firm’s investment approach is primarily long-term and based on fundamental analysis, using third‑party research sources and a mix of active and index funds to build customized portfolios. Accounts are managed on a discretionary basis in practice, with the firm accommodating reasonable client‑imposed restrictions so long as they do not conflict with its investment philosophy.
Noteworthy features include the firm’s small scale — roughly $6.3 million in assets across about 40 clients — and a stated account minimum that may be waived at the firm’s discretion, which can make client entry flexible. The brochure also discloses receipt of research and other support from a major custodian (including soft‑dollar arrangements and practice‑management services) and a prior 2010 consent order that required enhanced compliance procedures; the firm reports providing monthly account flow reporting directly to clients.
Client services
Expertise
Fee options
1.00% annually, billed quarterly in arrears
Account minimum: $150,000
Main office
89 Rockridge Lane
Stamford CT 06903
Advisors at this office
1
Most active in
Connecticut · New York · Texas
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.
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