RootsOn Capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
800 Turnpike Street, Suite 300
North Andover MA 01845
Advisors at this office
1
Most active in
Massachusetts
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
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