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Anthony James Annino

RIVERROCK ASSET MANAGEMENT LLC·AUSTIN, Texas
SIE, Series 7TO, Series 66CFA6 years registeredRIVERROCK ASSET MANAGEMENT LLC
500 W. 2ND STREET, AUSTIN, TX 78701CRD# 7026370Firm CRD# 147691

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Anthony James Annino · AUSTIN, TX
Registration
CRD #7026370 · RIVERROCK ASSET MANAGEMENT LLC · 6 years registered
Brand Profile
Not yet started
01

Career History

UBS FINANCIAL SERVICES INC.
Jul 2025 – present
UBS FINANCIAL SERVICES INC.
Apr 2025 – present
SEALIGHT CAPITAL LLC
Oct 2024 – May 2025
SEABROOK, NH
RIVERROCK ASSET MANAGEMENT LLC
Jan 2020 – Jan 2024
AUSTIN, TX
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7TO
Series 66
Registration record
First registered · January 15, 2020
Years registered · 6
Professional designation · CFA
03

Disclosure History

2024Criminal·Final Disposition

1 disclosure event on file · Verify on FINRA BrokerCheck →

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

04

Firm Overview

Firm
RIVERROCK ASSET MANAGEMENT LLC
CRD 147691 · SEC 801-127848
AUM
$148M
Regulatory assets under management
Employees
7
4 client accounts
Services offered by RIVERROCK ASSET MANAGEMENT LLC
Per Form ADV
Pension consulting
Client types served by the firm
Per Form ADV
Pension & Retirement Plans
View all advisors at RIVERROCK ASSET MANAGEMENT LLC →
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05

Frequently Asked Questions

What services does Anthony James Annino offer?
Anthony James Annino specializes in Retirement Planning. Contact their office in AUSTIN, Texas for a consultation.
What are Anthony James Annino's credentials?
Anthony James Annino holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Anthony James Annino located?
Anthony James Annino is based in AUSTIN, Texas, working with RIVERROCK ASSET MANAGEMENT LLC. Their office serves clients in the AUSTIN metropolitan area and surrounding communities.
How does Anthony James Annino charge for services?
Anthony James Annino's firm is compensated through percentage of aum, performance-based fees, other: life settlement policy acquisition fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is RIVERROCK ASSET MANAGEMENT LLC?
RIVERROCK ASSET MANAGEMENT LLC has approximately 7 employees and manages $148M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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