ROCATON INVESTMENT ADVISORS, LLC

ROCATON INVESTMENT ADVISORS
NORWALK, Connecticut·13 registered advisors·CRD# 120451
SEC# 801-611441203-621-1700
01

Firm Overview

AUM
$13.0B
Regulatory assets under management
Employees
23
Total firm employees
Advisors
13
Registered representatives
02

Services & Fees

Advisory Services
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Market timing services
Charitable organization or education services
Compensation
Percentage of AUM
Subscription fees
Other: ADDITIONAL INFO ON FEES CHARGED BY ADVISOR IN FORM ADV PART 2
03

Specialties

Financial PlanningInvestment ManagementRetirement PlanningWealth Management
04

Advisors at ROCATON INVESTMENT ADVISORS, LLC

13 registered advisors
Adam Wheat
NORWALK, Connecticut
Anne Caroline Buehl
NORWALK, Connecticut
Carla Haugen
NORWALK, Connecticut
Christopher Randolph Lyon
NORWALK, Connecticut
David Anthony Morton
NORWALK, Connecticut
Elisa Dougherty Metzger
NORWALK, Connecticut
Elizabeth Delalla
NORWALK, Connecticut
Ellen Randy Porges
NORWALK, Connecticut
Joseph Scott Nankof
NORWALK, Connecticut
Julie Moore
NORWALK, Connecticut
Meriam Zandi
NORWALK, Connecticut
Robin Sherry Pellish
NORWALK, Connecticut
Roger L. Fenningdorf
NORWALK, Connecticut
05

Office Locations

NORWALK, Connecticut
13 advisors

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Data sourced from SEC Form ADV filings. ROCATON INVESTMENT ADVISORS, LLC (CRD# 120451) is registered with the SEC as an investment adviser. View the firm's full regulatory filing at adviserinfo.sec.gov.