Red Rock Capital Management LLC

Red Rock Capital Management provides discretionary investment management and portfolio advice to individuals, high-net-worth individuals, trusts, and estates, with coverage across equities, exchange-traded funds, fixed income, and options. The firm reported roughly $750,000 in discretionary assets under management concentrated in a very small number of client accounts at the time of the brochure.

The firm’s investment process combines fundamental, technical, and quantitative analysis, using algorithmic chart scans and fundamental screens to maintain a trading portfolio typically of 30–40 stocks and to implement hedges or covered calls with options. Accounts are managed on a discretionary basis with daily monitoring, and trades are executed through Interactive Brokers, which serves as the qualified custodian and fee-billing agent.

Noteworthy differences from many peers include the firm’s disclosure that it may accept performance-based fee arrangements for qualified clients — typically an asset-based fee plus a 15% performance allocation on quarterly net profits subject to a high-water mark — and that it has paid referral/endorsement relationships (the brochure discloses compensation to a referral partner and a prior affiliation with a national solicitor program). The combination of a strategy emphasizing both chart technicals and quantitative screening with these uncommon compensation and referral arrangements is a distinguishing aspect called out in the brochure.