RCK Wealth Advisory LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$27,971,613
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
42
33% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
42
Average account size
$665,991
About
RCK Wealth Advisory LLC is a single‑advisor independent investment adviser that provides discretionary asset management and comprehensive financial planning primarily to individual and high‑net‑worth clients. Services include portfolio construction and monitoring, implementation support, and the option to engage sub‑advisors to manage portions of client accounts.
The firm tailors investment strategies to documented client objectives and risk tolerances, using fundamental analysis and a mix of long‑ and short‑term strategies while exercising discretionary trading authority and performing quarterly account reviews. Clients in ongoing planning engagements receive periodic meetings and written recommendations, and the firm directs custody to a designated provider (Charles Schwab).
The principal is an Enrolled Agent who also operates an affiliated insurance and tax preparation business and spends roughly 35% of his time on those activities; the brochure discloses that the firm or its representatives may receive external compensation from insurance sales and describes disclosures and procedures intended to mitigate that conflict of interest. RCK reports managing about $28 million for a small client base, operates without an account minimum, and uses sub‑advisors whose management is overseen by RCK and whose fees are included within the firm’s disclosed advisory arrangement.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
General retirement planning
Income planning
Tax strategies for small businesses
Business ownership considerations
Occupation focus
Founder/Business Owner
Fee options
$2,000 to $10,000 annually for financial planning, paid quarterly in advance
$0 - $250,000: 1.15% $250,000 - $500,000: 1.10% $500,000 - $1,000,000: 1.05% $1,000,000 - $3,000,000: 0.90% $3,000,000 - $5,000,000: 0.75% $5,000,000+: 0.50%
Main office location
RCK Wealth Advisory LLC
Souderton PA, United States
Number of offices
1
Most active in
RCK Wealth Advisory LLC has reported serving >5 clients in these states in the last 12 months.
Pennsylvania
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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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