A complete list of active advisors currently associated with Rockside Investments LLC
Warmer can help you find a great advisor at Rockside Investments LLC or one who fits your needs even better.
Rockside Investments LLC is an independent, state‑registered advisory firm that provides discretionary portfolio management to a small group of individual and institutional clients, including qualified retirement plans (401(k), 403(b)), pension and profit‑sharing plans. The firm manages roughly $13.25 million across about 14 client relationships and also offers ERISA fiduciary services as either a 3(21) adviser or a 3(38) investment manager. The advisor employs a model‑based, primarily long‑term value investing approach that emphasizes opportunities with identifiable catalysts and may include individual equities, options, ETFs, REITs, bonds and occasional private investments; client accounts are managed discretely and models may be customized to client objectives. Accounts are managed on a discretionary basis, and for qualified clients the firm makes available performance‑based fee arrangements; the advisor also permits the use of margin and option strategies within separately managed accounts. Compared with many solo independents, the firm’s notable features include formal pension consulting and institutional retirement plan services, the use of borrowing in client accounts, and the offering of multiple performance‑based fee structures. The brochure also discloses a prior regulatory matter — a 2021 consent order with the California Department of Financial Protection and Innovation resolving advisory activity conducted before holding a state certificate — and describes compliance measures such as quarterly reviews of personal and proprietary trading to mitigate conflicts.
To learn more about the advisors currently working at Rockside Investments 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.
Name |
Location |
Years of experience |
|---|---|---|
Westminster, CA
| 5
|
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