RootsOn Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Average account size
—
About
RootsOn Capital LLC is a fee-only, registered investment adviser that provides discretionary investment management and project-based financial planning to individuals, high-net-worth clients, family trusts and estates, family offices, and other institutional or affiliated entities. The firm works with typical account types, including retirement accounts, and develops written investment policies and asset-allocation targets tailored to each client’s circumstances.
The firm’s investment approach is long-term and informed by modern portfolio theory, blending passive and active exposures through ETFs, mutual funds, individual equities, bonds, and cash equivalents while applying fundamental and technical analysis. RootsOn Capital constructs and monitors portfolios to align with each client’s goals, risk tolerance, and tax considerations and generally exercises discretionary trading authority to implement agreed strategies and rebalance as needed.
Noteworthy for a solo independent adviser, RootsOn Capital explicitly offers portfolio management to institutional clients — including single- and multi-family offices and related entities — alongside private client work, and maintains a $2 million account minimum subject to case-by-case waivers. The firm is newly established and its principal brings prior institutional portfolio management experience and a CFA credential; the adviser operates on a fee-only basis, does not hold custody of client assets, and provides limited-scope, project-based financial planning.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
General tax planning
Cash flow / budgeting
College savings (529s, UTMA, etc.)
General estate planning guidance
Fee options
$0 - $5,000,000: 1.00% $5,000,001 - $25,000,000: 0.75% $25,000,001 - $50,000,000: 0.55% $50,000,001+: Negotiable
Account minimum: $2,000,000 Fee-only: Fixed fee for Project-Based Financial Planning ranges from $1,000 to $10,000, negotiable
Main office location
RootsOn Capital LLC
800 Turnpike Street, Suite 300,
North Andover MA 01845, United States
Number of offices
1
Most active in
RootsOn Capital LLC has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through — whether you ultimately need an advisor or not.
Warmer helps you compare advisors clearly — so you can choose with confidence.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")