Rocaton Investment Advisors

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Last updated: February 23rd, 2020. Data source: SEC filings.


Rocaton Investment Advisors, federally registered in 2002, is a Registered Investment Advisor (RIA) in 3 state(s) with a licensed staff of 53 advisors. Rocaton Investment Advisors manages $8.7 billion and provides investment advisory services for 28 clients (1:1 advisor/client ratio). This firm or an advisory affiliate has a disciplinary history (see below).

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Firm Information


Feature Value
Rank (United States) Not Ranked
Advisors Directory View Directory
Avg Advisor Years Registered 0
Percentage of Advisors Trusted Less than 1%
Minimum Investment $0
Average Client Balance $312,021,428
Total AUM $8.7 billion
Advisor / Client Ratio 1:1
Headquarters Norwalk, CT
SEC Filings View SEC IAPD CRD #120451
State(s) Registered CT, NH, NY

SEC data last verified 02/23/2020. For the most up-to-date information, please view the applicable SEC and FINRA reports above. By visiting these sites, you are subject to their terms of use (IAPD, BrokerCheck). Any data inaccuracies, please contact our team. All requests for updated information should also be reported directly to the SEC and/or FINRA.



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