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ROUND ROCK ADVISORS LLC

WILTON, CT · CRD 286007 · IAPD ↗ · roundrockadvisors.com · (203) 920-4774

$906.7MRegulatory AUM
12Advisory reps
22Employees
0Clients
101-250Planning clients
0Private funds
17States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2025 — ROUND ROCK ADVISORS LLC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
72
April 2025 — ROUND ROCK ADVISORS LLC grew from 10 to 14 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
April 2024 — ROUND ROCK ADVISORS LLC notice-filed in IL, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — ROUND ROCK ADVISORS LLC crossed $500M in regulatory AUM ($484.8M -> $673.3M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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