Rockhouse Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,318,269
Clients
41
56% 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
41
HighAverage account size
$154,104
About
Rockhouse Capital provides individualized investment management to individuals (including high net worth clients), trusts, estates, charitable organizations and business entities, typically charging percentage-of-assets-under-management and constructing portfolios of stocks, bonds, mutual funds and ETFs. The firm emphasizes personalized financial profiling and ongoing portfolio oversight to align investments with each client’s stated objectives.
The firm’s investment approach is primarily long-term and based on fundamental analysis, using third‑party research sources and a mix of active and index funds to build customized portfolios. Accounts are managed on a discretionary basis in practice, with the firm accommodating reasonable client‑imposed restrictions so long as they do not conflict with its investment philosophy.
Noteworthy features include the firm’s small scale — roughly $6.3 million in assets across about 40 clients — and a stated account minimum that may be waived at the firm’s discretion, which can make client entry flexible. The brochure also discloses receipt of research and other support from a major custodian (including soft‑dollar arrangements and practice‑management services) and a prior 2010 consent order that required enhanced compliance procedures; the firm reports providing monthly account flow reporting directly to clients.
Client services
Portfolio management
Expertise
Active portfolio management
ESG / Sustainable investing
Fee options
1.00% annually, billed quarterly in arrears
Account minimum: $150,000
Main office location
Rockhouse Capital, LLC
Stamford CT, United States
Number of offices
1
Most active in
Rockhouse Capital, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut · New York · 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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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