Round Rock Advisors LLC
Firm details
- Headquarters
- Wilton, Connecticut
- CRD number
- 286007
- Registered since
- January 23, 2017
- Website
- roundrockadvisors.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI65.67%
- Individuals14.75%
- Pooled Investment Vehicles7.95%
- Other6.04%
- Pension & Profit Sharing Plans2.49%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Round Rock Advisors LLC is an independent registered investment adviser organized as an LLC and operating since 2017. The firm functions as a capital allocator to third‑party managers and serves both individual & family clients and institutional investors. Its advisory services include financial planning, discretionary portfolio management for individuals and small businesses, management of pooled investment vehicles, pension consulting, and the selection of outside advisers. Compensation is a mix of percentage-of-AUM and fixed fees. The firm is not identified as an active ESG investor and lists an accounting professional affiliation.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds63%
- Exchange Traded Equities24%
- Private Funds4%
- US Government Bonds3%
- Investment Grade Corp Bonds3%
Owners & executives
2 of 2
Craig Jensen
Partner, COOCRD 5766588
Jeffrey Shaw
Chief Investment OfficerCRD 2818085
Contacts
3 of 7
Elaine Biersack
Client Service AssociateCRD 7268012
Allison Costas
Investment Advisor RepresentativeCRD 8139128
Scott Dynan
Portfolio ManagerCRD 3157770
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 116Active vs passive
$613M in ETFs
77%
$472M
12%
$141M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $61M | 82,898 | 9.96% |
Location
Wilton, CT
Fairfield
Location
Wilton, CT
Headquartered in Wilton, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Fairfield
- Address
- 187 Danbury Rd
- Time zone
- ET (UTC-5)
- Office locations
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