Unclaimed Profile

Bert Thomas Bowler

ROUND ROCK ADVISORS LLC·WILTON, Connecticut

SIE, Series 7, Series 63, Series 65CFP21 years registeredROUND ROCK ADVISORS LLC

187 DANBURY ROAD, WILTON, CT 06897CRD# 2485212Firm CRD# 286007

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Bert Thomas Bowler · WILTON, CT

Registration

CRD #2485212 · ROUND ROCK ADVISORS LLC · 21 years registered

Brand Profile

Not yet started

Career History

ROUND ROCK ADVISORS LLC

Apr 2017 – present

AMERIPRISE FINANCIAL SERVICES, INC.

Aug 2004 – Apr 2017

NEW CANAAN, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · August 23, 2004

Years registered · 21

Professional designation · CFP

Disclosure History

2016Customer Dispute·Final

2007Customer Dispute·Closed-No Action

2002Customer Dispute·Denied

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ROUND ROCK ADVISORS LLC

CRD 286007 · SEC 801-108989

AUM

$673M

Regulatory assets under management

Employees

1,816 client accounts

Services offered by ROUND ROCK ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ROUND ROCK ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Bert Thomas Bowler offer?

Bert Thomas Bowler specializes in Financial Planning, Investment Management. Contact their office in WILTON, Connecticut for a consultation.

What are Bert Thomas Bowler's credentials?

Bert Thomas Bowler holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Bert Thomas Bowler located?

Bert Thomas Bowler is based in WILTON, Connecticut, working with ROUND ROCK ADVISORS LLC. Their office serves clients in the WILTON metropolitan area and surrounding communities.

How does Bert Thomas Bowler charge for services?

Bert Thomas Bowler's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROUND ROCK ADVISORS LLC?

ROUND ROCK ADVISORS LLC has approximately 19 employees and manages $673M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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