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ROCKTOP PARTNERS, LLC

IRVING, TX · CRD 283846 · IAPD ↗ · rocktoppartners.com · 844-456-6316

$260.5MRegulatory AUM
16Advisory reps
18Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

48
March 2025 — ROCKTOP PARTNERS, LLC (IRVING, TX) left the SEC roster (was $260.5M RAUM, 16 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
33
April 2024 — ROCKTOP PARTNERS, LLC reported RAUM down 72% ($928.1M -> $260.5M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
53
April 2024 — ROCKTOP PARTNERS, LLC now reports custody of client assets ($247.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
59
April 2024 — ROCKTOP PARTNERS, LLC grew from 10 to 16 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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