ROCKWATER MUNICIPAL ADVISORS, LLC
CRD #134971 SEC #801-68293 IRVINE, CA 949-251-5000
SEC Registered
Total AUM
$475.7M
Discretionary
$363.1M
Employees
10
Clients
--
Accounts
70
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FISH, CHARLES, WILLARD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FREY, WILLIAM, R | I | MEMBER | NA | |
| FREY, WILLIAM, R | I | MEMBER | NA | |
| FREY, WILLIAM, R | I | MEMBER | NA | |
| FREY, WILLIAM, R | I | MEMBER | NA | |
| FREY, WILLIAM, R | I | MEMBER | NA | |
| FREYBERG, RICHARD, HERMAN | I | MEMBER | NA | |
| FREYBERG, RICHARD, HERMAN | I | MEMBER | NA | |
| FREYBERG, RICHARD, HERMAN | I | MEMBER | NA | |
| FREYBERG, RICHARD, HERMAN | I | MEMBER | NA | |
| FREYBERG, RICHARD, HERMAN | I | MEMBER | NA | |
| HAPKE, JOHN, EDWARD | I | CHIEF FINANCIAL OFFICER | NA | |
| HAPKE, JOHN, EDWARD | I | CHIEF FINANCIAL OFFICER | NA | |
| HAPKE, JOHN, EDWARD | I | CHIEF FINANCIAL OFFICER | NA | |
| HAPKE, JOHN, EDWARD | I | CHIEF FINANCIAL OFFICER | NA | |
| HAPKE, JOHN, EDWARD | I | CHIEF FINANCIAL OFFICER | NA | |
| ROBERSON, DAVID, LEROY | I | MEMBER | NA | |
| ROBERSON, DAVID, LEROY | I | MEMBER | NA | |
| ROBERSON, DAVID, LEROY | I | MEMBER | NA | |
| ROBERSON, DAVID, LEROY | I | MEMBER | NA | |
| ROBERSON, DAVID, LEROY | I | MEMBER | NA | |
| SHELTON, BETSY, CAMPBELL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHELTON, BETSY, CAMPBELL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAM D. AND SUSAN BECK TRUST | DE | MEMBER | NA | |
| WILLIAM D. AND SUSAN BECK TRUST | DE | MEMBER | NA | |
| WILLIAM D. AND SUSAN BECK TRUST | DE | MEMBER | NA | |
| WILLIAM D. AND SUSAN BECK TRUST | DE | MEMBER | NA | |
| WILLIAM D. AND SUSAN BECK TRUST | DE | MEMBER | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | Control |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | Control |
| WILLIAMS, DONNA, FARCHIONE | I | VP OPERATIONS | NA | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING MEMBER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WILLIAMS, BRYAN, ROBERT | I | MANAGING MEMBER | E | Control |
| CHARLES FISH INVESTMENTS, INC. | DE | OWNER OF CLASS B MEMBERSHIP UNITS | B | |
| CHARLES FISH INVESTMENTS, INC. | DE | OWNER OF CLASS B MEMBERSHIP UNITS | B | |
| FISH, CHARLES, WILLARD | I | CHIEF INVESTMENT OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, SUSAN | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM, DAVID | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM, DAVID | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM, DAVID | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
| BECK, WILLIAM, DAVID | I | WILLIAM D. AND SUSAN BECK TRUST | D | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (2)
CA TX
Address
2010 MAIN STREETSUITE 130
IRVINE, CA 92614
United States
Phone: 949-251-5000