Rocaton Investment Advisors Review


Trust Score 78%
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Last updated: June 26th, 2019. 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
Minimum Investment $0
Average Client Balance $312,021,428
Hybrid Advisor Yes
Disciplinary History Yes
Total AUM $8.7 billion
Advisor / Client Ratio 1:1
Headquarters Norwalk, CT
SEC Filings Forms and Brochures    (CRD # 120451)
State(s) Registered CT, NH, NY


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