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ROCATON INVESTMENT ADVISORS

NORWALK, CT · CRD 120451 · IAPD ↗ · 203-621-1700

$12.98BRegulatory AUM
20Advisory reps
23Employees
151Clients
0Planning clients
0Private funds
3States
26Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
November 2024 — ROCATON INVESTMENT ADVISORS (NORWALK, CT) left the SEC roster (was $12.98B RAUM, 20 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
55
April 2024 — ROCATON INVESTMENT ADVISORS shrank from 25 to 20 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.