ROUND ROCK ADVISORS LLC
CRD #286007 SEC #801-108989 WILTON, CT (203) 920-4774
SEC Registered
Total AUM
$814.6M
Discretionary
$806.9M
Employees
24
Clients
101
Accounts
2,126
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 10, 2025
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| DOWNEY, DIXON, PLACE | I | CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | NA | |
| MORRO, ERIKA B | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRO, ERIKA, BERRIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRO, ERIKA, BERRIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRO, ERIKA, BERRIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRO, ERIKA, BERRIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRO, ERIKA, BERRIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Morro, Erika, B | I | CHIEF OPERATIONS OFFICER | NA | Control |
| Morro, Erika, B | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | E | Control |
| WINN, CHRISTOPHER, EDWARD | I | MANAGING MEMBER AND INTERIM CCO | E | Control |
| WINN, CHRISTOPHER, EDWARD | I | INTERIM CCO | E | Control |
| WINN, CHRISTOPHER, EDWARD | I | MANAGING MEMBER AND INTERIM CCO | E | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| BOWLER, BERT, THOMAS | I | MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER AND CCO | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
| JENSEN, CRAIG, DAN | I | MEMBER, CCO AND PRIVATE WEALTH ADVISOR | D | Control |
Registrations
Federal
IA
Dec 10, 2025 REGISTERED
Notice Filings (17)
CA CO CT FL IL LA MA MD NC NH NJ NY PA SC TX VA WA
Address
187 DANBURY ROADSUITE 201
WILTON, CT 06897
United States
Phone: (203) 920-4774