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HAMPTON ROCK WEALTH MANAGEMENT

AUSTIN, TX · CRD 331682 · IAPD ↗ · hamptonrock.com · 512-256-9272

$192.4MRegulatory AUM
7Advisory reps
7Employees
0Clients
11-25Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

67
June 2026 — HAMPTON ROCK WEALTH MANAGEMENT grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
61
April 2026 — HAMPTON ROCK WEALTH MANAGEMENT reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
62
April 2026 — HAMPTON ROCK WEALTH MANAGEMENT reported RAUM up 35% ($142.1M -> $192.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
December 2025 — HAMPTON ROCK WEALTH MANAGEMENT now reports custody of client assets ($76.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
69
August 2025 — HAMPTON ROCK WEALTH MANAGEMENT grew from 1 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
December 2024 — HAMPTON ROCK WEALTH MANAGEMENT's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
45
November 2024 — HAMPTON ROCK WEALTH MANAGEMENT moved its main office from DALLAS, TX to AUSTIN, TX.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
42
October 2024 — HAMPTON ROCK WEALTH MANAGEMENT notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
September 2024 — HAMPTON ROCK WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
95
August 2024 — HAMPTON ROCK WEALTH MANAGEMENT (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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