R
Rock One Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,775,992
Clients
29
3% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
29
TypicalAverage account size
$130,207
About
Rock One Advisors serves individuals, high-net-worth individuals, trusts, estates, charitable organizations and pension/profit-sharing plans, offering asset management, financial planning and consulting, and ongoing retirement plan consulting. The firm reports managing roughly $3.7 million on a discretionary basis for a small client base of about 29 relationships and constructs portfolios using public and private securities, including stocks, bonds, ETFs, mutual funds and options.
The firm emphasizes continuous, individualized account supervision with at least quarterly reviews and permits clients to impose reasonable investment restrictions on managed portfolios. Its investment implementation spans long-term buy-and-hold positions to shorter-term trading, margin transactions and option-writing strategies, and cash balances are typically placed in money market funds, CDs or high-grade short-term instruments.
Compared with many solo independent advisers, Rock One’s provision of retirement plan consulting with an acknowledgment of ERISA fiduciary responsibilities is an uncommon service offering, and its planning scope includes corporate and tax-related work such as cost segregation studies, corporate structure advice and real estate analysis. The brochure also discloses that the firm’s principal maintains an outside music publishing business occupying roughly 10% of time and that the adviser uses active trading tools (options, margin), which may be relevant for prospective clients evaluating fit.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Charitable giving & philanthropy
Fee options
Flat fees generally range from $1,500 to $50,000 for financial planning and consulting services.
$250,000 - $499,999.99: 1.5% $500,000 - $749,999.99: 1.4% $750,000 - $999,999.99: 1.3% $1,000,000 - $2,000,000: 1.2% $2,000,001 - $5,000,000: 1.1% $5,000,001 - $10,000,000: 1.0% Over $10,000,000+: Negotiable
Account minimum: $250,000 Minimum fee: Minimum annual fee of $3,600 ($900 quarterly) for asset management if minimum assets are not met; minimum fee of $1,500 for written financial plans. Fee-only: Flat fees generally range from $1,500 to $50,000 for financial planning and consulting services.
Most active in
Rock One Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Georgia · Louisiana · Texas
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 not 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.
-
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.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")