Rockworth Investment Services LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,786,940
Clients
61
3% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
61
Very HighAverage account size
$127,655
About
The firm provides continuous, discretionary portfolio and asset management to individuals (including retirement accounts), corporate pension and profit-sharing plans, and trusts, and will work with clients’ other advisors on implementation as needed. It charges fees based on a percentage of assets under management and states it does not impose account minimums.
The firm follows an active, tactical approach that favors ETFs and individual stocks over mutual funds to avoid internal fund fees and to allow intraday trading and quicker rebalancing. Accounts are monitored frequently — the brochure describes monitoring throughout the day, use of stop-losses when appropriate, and portfolio adjustments across sectors in response to market developments.
Noteworthy among peers, the firm recently amended its ADV (January 15, 2026) to update discretionary and non-discretionary AUM and to add explicit disclosure of political risk, constituting a material disclosure event that is uncommon for independent advisers. The brochure also highlights the manager’s real‑estate background and the firm’s ability to assist clients who hold real estate in IRAs, and it reports no disciplinary history.
Client services
Portfolio management
Expertise
Active portfolio management
Real estate investing
Fee options
$0 - $25,000: 2.00% $25,001 - $49,999: 1.25% $50,000+: 1.00%
Fee-only: Fees based on a percentage of assets managed, deducted monthly in arrears, no commissions or other financial rewards received.
Main office location
Rockworth Investment Services LLC
115 Odell Hill Road
Center Conway NH 03813-4411, United States
Number of offices
1
Most active in
Rockworth Investment Services LLC has reported serving >5 clients in these states in the last 12 months.
Maine · New Hampshire
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
Quick links
Not sure where to start?
We'll help you think it through — whether you ultimately need an advisor or not.
Warmer helps you compare advisors clearly — so you can choose with confidence.
Discover
Compare top advisor firms by metric, firm size, and location.
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")