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ROCATON INVESTMENT ADVISORS
NORWALK, CT
203-621-1700
SEC #801-61144Total AUM
$13B
Employees
23Clients
40Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
20 GLOVER AVENUE
NORWALK
CT 06850
United States
NORWALK
CT 06850
United States
Operating Hours
9:00 A.M. - 5:00 P.M.
Monday - Friday
Monday - Friday
Phone
203-621-1700
Other Offices
1
Financials
Total AUM
$13B
Accounts
128Discretionary
$13B
Accounts
127Non-Discretionary
$10.8M
Accounts
1
Clients
Individual Clients
1AUM
$0
HNW Individual Clients
1AUM
$0
Banking Clients
1AUM
$0
Pension/Profit Sharing Plan Clients
13AUM
$12.1B
Charitable Organization Clients
5AUM
$616.2M
Government Entity Clients
1AUM
$0
Investment Advisor Clients
1AUM
$0
Insurance Company Clients
1AUM
$0
Sovereign Wealth Fund Clients
1AUM
$0
Corporation or Business Clients
15AUM
$256.7M
Services
Services Offered
Advisor / Fund Manager SelectionEducationFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension ConsultingPooled Vehicle Portfolio ManagementPublications
Compensation Types
Charges Fixed FeeCharges Other FeeCharges Percentage AUM
Other Compensation
ADDITIONAL INFO ON FEES CHARGED BY ADVISOR IN FORM ADV PART 2
Compliance
Disclosures
Felony ChargeLicense Revocation/SuspensionOther Regulator Denial/Suspension/RevocationOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation Finding
State Registrations
CT
Affiliates
Affiliates
Reported 159 business affiliates.
Claimed Affiliates
Reported as an affiliate by 9 other businesses.