ROCATON INVESTMENT ADVISORS, LLC
Legal name: ROCATON INVESTMENT ADVISORS
CRD #120451 SEC #801-61144 NORWALK, CT 203-621-1700
SEC Registered Disclosures
Total AUM
$13B
Discretionary
$13B
Employees
23
Clients
0
Accounts
128
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Apr 2024 | $13B | $13B | $10.8M | 23 | 151 |
| Mar 2024 | $13B | $13B | $10.8M | 23 | 151 |
| Jan 2024 | $12.4B | $12.4B | $0 | 31 | 163 |
| Aug 2023 | $12.4B | $12.4B | $0 | 31 | 163 |
| Jun 2023 | $12.4B | $12.4B | $0 | 31 | 163 |
| Mar 2023 | $12.4B | $12.4B | $0 | 31 | 163 |
| Feb 2023 | $13.2B | $13.2B | $0 | 41 | 168 |
| Dec 2022 | $13.2B | $13.2B | $0 | 41 | 168 |
| Nov 2022 | $13.2B | $13.2B | $0 | 41 | 168 |
| Mar 2022 | $13.2B | $13.2B | $0 | 41 | 168 |
| Dec 2021 | $14.3B | $14.3B | $0 | 31 | 73 |
| Aug 2021 | $14.3B | $14.3B | $0 | 31 | 73 |
| Jun 2021 | $14.3B | $14.3B | $0 | 31 | 73 |
| Apr 2021 | $14.3B | $14.3B | $0 | 31 | 73 |
| Mar 2021 | $14.3B | $14.3B | $0 | 31 | 73 |
| Jan 2021 | $14B | $14B | $0 | 37 | 67 |
| Jan 2021 | $14B | $14B | $0 | 37 | 67 |
| Oct 2020 | $14B | $14B | $0 | 37 | 67 |
| Jun 2020 | $14B | $14B | $0 | 37 | 67 |
| May 2020 | $14B | $14B | $0 | 37 | 67 |
| Mar 2020 | $14B | $14B | $0 | 37 | 67 |
| Nov 2019 | $8.7B | $8.7B | $0 | 65 | 66 |
| Sep 2019 | $8.7B | $8.7B | $0 | 65 | 66 |
| Aug 2019 | $8.7B | $8.7B | $0 | 65 | 66 |
| Apr 2019 | $8.7B | $8.7B | $0 | 65 | 66 |
| Mar 2019 | $11.6B | $11.6B | $0 | 65 | 66 |
| Apr 2018 | $10B | $10B | $0 | 65 | 65 |
| Mar 2018 | $9.9B | $9.9B | $0 | 65 | 65 |
| Jan 2018 | $9.2B | $9.2B | $0 | 62 | 85 |
| Mar 2017 | $9.2B | $9.2B | $0 | 62 | 26 |
| Mar 2016 | $7.2B | $7.2B | $0 | 61 | 26 |
| Mar 2015 | $5.4B | $5.4B | $0 | 59 | 26 |
| May 2014 | $5.2B | $5.2B | $0 | 50 | 26 |
| Mar 2014 | $5.2B | $5.2B | $0 | 50 | 26 |
| Mar 2013 | $2B | $2B | $0 | 50 | 26 |
| Jan 2013 | $520.4M | $520.4M | $0 | 53 | 26 |
| Jul 2012 | $520.4M | $520.4M | $0 | 11 | 26 |
| Mar 2012 | $520.4M | $520.4M | $0 | 11 | 26 |
| Mar 2011 | $849.4K | $849.4K | $0 | -- | -- |
| Oct 2010 | $834.1K | $834.1K | $0 | -- | -- |
| Jun 2010 | $834.1K | $834.1K | $0 | -- | -- |
| Mar 2008 | $722K | $722K | $0 | -- | -- |
| Mar 2007 | $4M | $4M | $0 | -- | -- |
| Mar 2006 | $10M | $10M | $0 | -- | -- |
| Jan 2005 | $10M | $10M | $0 | -- | -- |
| Jan 2005 | $10M | $10M | $0 | -- | -- |
| Mar 2004 | $10M | $10M | $0 | -- | -- |
| May 2002 | $0 | $0 | $0 | -- | -- |
DateApr 2024
Total AUM$13B
Discretionary$13B
Non-Disc.$10.8M
Employees23
Clients151
DateMar 2024
Total AUM$13B
Discretionary$13B
Non-Disc.$10.8M
Employees23
Clients151
DateJan 2024
Total AUM$12.4B
Discretionary$12.4B
Non-Disc.$0
Employees31
Clients163
DateAug 2023
Total AUM$12.4B
Discretionary$12.4B
Non-Disc.$0
Employees31
Clients163
DateJun 2023
Total AUM$12.4B
Discretionary$12.4B
Non-Disc.$0
Employees31
Clients163
DateMar 2023
Total AUM$12.4B
Discretionary$12.4B
Non-Disc.$0
Employees31
Clients163
DateFeb 2023
Total AUM$13.2B
Discretionary$13.2B
Non-Disc.$0
Employees41
Clients168
DateDec 2022
Total AUM$13.2B
Discretionary$13.2B
Non-Disc.$0
Employees41
Clients168
DateNov 2022
Total AUM$13.2B
Discretionary$13.2B
Non-Disc.$0
Employees41
Clients168
DateMar 2022
Total AUM$13.2B
Discretionary$13.2B
Non-Disc.$0
Employees41
Clients168
DateDec 2021
Total AUM$14.3B
Discretionary$14.3B
Non-Disc.$0
Employees31
Clients73
DateAug 2021
Total AUM$14.3B
Discretionary$14.3B
Non-Disc.$0
Employees31
Clients73
DateJun 2021
Total AUM$14.3B
Discretionary$14.3B
Non-Disc.$0
Employees31
Clients73
DateApr 2021
Total AUM$14.3B
Discretionary$14.3B
Non-Disc.$0
Employees31
Clients73
DateMar 2021
Total AUM$14.3B
Discretionary$14.3B
Non-Disc.$0
Employees31
Clients73
DateJan 2021
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateJan 2021
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateOct 2020
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateJun 2020
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateMay 2020
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateMar 2020
Total AUM$14B
Discretionary$14B
Non-Disc.$0
Employees37
Clients67
DateNov 2019
Total AUM$8.7B
Discretionary$8.7B
Non-Disc.$0
Employees65
Clients66
DateSep 2019
Total AUM$8.7B
Discretionary$8.7B
Non-Disc.$0
Employees65
Clients66
DateAug 2019
Total AUM$8.7B
Discretionary$8.7B
Non-Disc.$0
Employees65
Clients66
DateApr 2019
Total AUM$8.7B
Discretionary$8.7B
Non-Disc.$0
Employees65
Clients66
DateMar 2019
Total AUM$11.6B
Discretionary$11.6B
Non-Disc.$0
Employees65
Clients66
DateApr 2018
Total AUM$10B
Discretionary$10B
Non-Disc.$0
Employees65
Clients65
DateMar 2018
Total AUM$9.9B
Discretionary$9.9B
Non-Disc.$0
Employees65
Clients65
DateJan 2018
Total AUM$9.2B
Discretionary$9.2B
Non-Disc.$0
Employees62
Clients85
DateMar 2017
Total AUM$9.2B
Discretionary$9.2B
Non-Disc.$0
Employees62
Clients26
DateMar 2016
Total AUM$7.2B
Discretionary$7.2B
Non-Disc.$0
Employees61
Clients26
DateMar 2015
Total AUM$5.4B
Discretionary$5.4B
Non-Disc.$0
Employees59
Clients26
DateMay 2014
Total AUM$5.2B
Discretionary$5.2B
Non-Disc.$0
Employees50
Clients26
DateMar 2014
Total AUM$5.2B
Discretionary$5.2B
Non-Disc.$0
Employees50
Clients26
DateMar 2013
Total AUM$2B
Discretionary$2B
Non-Disc.$0
Employees50
Clients26
DateJan 2013
Total AUM$520.4M
Discretionary$520.4M
Non-Disc.$0
Employees53
Clients26
DateJul 2012
Total AUM$520.4M
Discretionary$520.4M
Non-Disc.$0
Employees11
Clients26
DateMar 2012
Total AUM$520.4M
Discretionary$520.4M
Non-Disc.$0
Employees11
Clients26
DateMar 2011
Total AUM$849.4K
Discretionary$849.4K
Non-Disc.$0
Employees--
Clients--
DateOct 2010
Total AUM$834.1K
Discretionary$834.1K
Non-Disc.$0
Employees--
Clients--
DateJun 2010
Total AUM$834.1K
Discretionary$834.1K
Non-Disc.$0
Employees--
Clients--
DateMar 2008
Total AUM$722K
Discretionary$722K
Non-Disc.$0
Employees--
Clients--
DateMar 2007
Total AUM$4M
Discretionary$4M
Non-Disc.$0
Employees--
Clients--
DateMar 2006
Total AUM$10M
Discretionary$10M
Non-Disc.$0
Employees--
Clients--
DateJan 2005
Total AUM$10M
Discretionary$10M
Non-Disc.$0
Employees--
Clients--
DateJan 2005
Total AUM$10M
Discretionary$10M
Non-Disc.$0
Employees--
Clients--
DateMar 2004
Total AUM$10M
Discretionary$10M
Non-Disc.$0
Employees--
Clients--
DateMay 2002
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees--
Clients--