ROOTSTOCK INVESTMENT MANAGEMENT, LLC.
Legal name: ROOTSTOCK ADVISORS
CRD #167665 SEC #801-78025 SEWICKLEY, PA 412-205-8822
SEC Registered
Total AUM
$495.9M
Discretionary
$397.2M
Employees
3
Clients
26
Accounts
191
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Pennsylvania
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 27, 2024
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HADAWAY, JAMES, RUSSELL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HADAWAY, JAMES, RUSSELL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER, CCO | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| SIMPSON, GREGORY, JAMES | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Mar 27, 2024 REGISTERED
Notice Filings (2)
PA TX
Address
2605 NICHOLSON ROADBUILDING 5, SUITE 5240
SEWICKLEY, PA 15143
United States
Phone: 412-205-8822