Advisor at Rockside Investments LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Rockside Investments LLC
Location
Westminster, CA
Credentials
Series 65
Industry experience
4 years
Quan Le is a financial advisor at Rockside Investments LLC in Westminster, CA, holding a Series 65 designation with four years of industry experience. Prior to founding Rockside Investments, he worked at Valero Energy Corporation for over three decades. Rockside Investments LLC is an independent registered investment adviser serving individual investors and select institutional clients, including qualified retirement plans. The firm employs a value investing approach with a catalyst, utilizing model portfolios that incorporate equities, options, ETFs, REITs, treasuries, and bonds, and offers both discretionary portfolio management and pension consulting services.
Based on Rockside Investments LLC
$0 - $500,000: 1.50% annually (0.3750% quarterly) $500,001 - $1,000,000: 1.25% annually (0.3125% quarterly) Over $1,000,000+: 1.00% annually (0.2500% quarterly)
Four options: 1) 25% of gains above 6% annual return (annual, arrears); 2) 1% fee at 7% return benchmarks (immediate when reached); 3) 50% of excess gain over S&P 500 index return (annual, arrears); 4) 50% of excess gain over DJIA index return (annual, arrears)
Account minimum: $200,000
Westminster, CA
California · Louisiana
Rockside Investments LLC
2021 - Present (5 years)
Rockside Investments LLC
2020 - Present (6 years)
Valero Energy Corporation
1993 - 2025 (32 years)
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Is not active or affiliated with:
Insurance agent
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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.
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