Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
0
Total advisors
6
of 6 employees
Firm size
Investment Manager
May not manage individual clients
Average clients per advisor
0
Average account size
—
Rock Harbor Capital LLC provides wholesale distribution services to other registered investment advisers by marketing the services, platforms, and portfolios of unaffiliated third‑party investment advisers. The firm does not manage client assets, custody funds, or offer tailored portfolio management to individual investors and discloses that it no longer provides portfolio management to individuals.
Rock Harbor’s role is intermediary: it introduces and assists third‑party advisers in establishing relationships with prospective Referred Advisers, coordinates meetings, disseminates information about investment strategies and firm culture, and provides ongoing support as requested; in return it receives a fixed retainer and a negotiated portion of the third‑party adviser’s management fee. The firm does not execute client trades, recommend broker‑dealers, or exercise investment discretion for end clients.
Noteworthy for a firm categorized as an investment manager, Rock Harbor has cross‑industry affiliations—owners and associates are registered representatives of a broker‑dealer and may be licensed insurance agents who can sell insurance products—creating additional compensation streams that the brochure discloses and says the firm seeks to mitigate through its Code of Ethics and conflict‑of‑interest policies. The firm is recently formed and small in scale, focused exclusively on wholesaling to intermediary advisers rather than on traditional asset management or custody services.
Owners and associates may sell securities for a commission through Foreside Fund Services, LLC, separate from advisory fees
Minimum fee: Fixed annual retainer fee ranging between $75,000 and $250,000, collected quarterly in advance
Rock Harbor Capital LLC
390 Park Street, Suite 250
Birmingham MI 48009, United States
Number of offices
1
Michigan
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is 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.
Is not active or affiliated with:
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.
Series 63, Series 66
Birmingham, MI
Rock Harbor Capital LLC
Series 66
Birmingham, MI
Rock Harbor Capital LLC
Series 66
Birmingham, MI
Rock Harbor Capital LLC
Series 66
Birmingham, MI
Rock Harbor Capital LLC
Series 66
Birmingham, MI
Rock Harbor Capital LLC
Series 63, Series 66
Birmingham, MI
Rock Harbor Capital LLC
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