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ROCK HOUSE FINANCIAL

FARMINGTON, UT · CRD 293909 · IAPD ↗ · (801) 447-4200

$214.9MRegulatory AUM
6Advisory reps
10Employees
12Clients
251-500Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
August 2024 — ROCK HOUSE FINANCIAL (FARMINGTON, UT) left the SEC roster (was $214.9M RAUM, 6 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
42
April 2024 — ROCK HOUSE FINANCIAL notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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