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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ROCKINGSTONE ADVISORS

ROCKINGSTONE ADVISORS LLC, CRD 149592

GREAT BARRINGTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07256847-752f-5862-11fa-d3cff20fa47a

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Feb 26, 2013 to Mar 19, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $280MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $280M
Private client RAUM: $280MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $140Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 283
Individual clients: 7
High net worth clients: 54
SEC number: 801-77696
CRD: 149592
Filings on the tape: 28
First filed: Feb 26, 2013
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, DE
Website: rockingstoneadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ERIC RICHARD KATZMAN	Chartered Financial Analyst	GREAT BARRINGTON, MA	6	24	1	no
BRANDT AUGUSTUS SAKAKEENY	n/a	Harrison, NY	6	26	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KATZMAN, ERIC, RICHARD	PARTNER AND CO-CHIEF INVESTMENT OFFICER	Na	yes	09/2016	Sep 13, 2016	Mar 7, 2024
SAKAKEENY, BRANDT, AUGUSTUS	CHIEF COMPLIANCE OFFICER	D	yes	01/2009	Feb 26, 2013	Mar 7, 2024
SAKAKEENY, MARGARET, C	Member	C	no	01/2009	Feb 26, 2013	Mar 7, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
DELRAY BEACH	FL	United States	1	no
Harrison	NY	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$280M	$280M	3	2	2	n/a	n/a
2024	Feb 19, 2025	$286M	$270M	2	2	2	n/a	n/a
2023	Mar 1, 2024	$271M	$260M	2	2	2	n/a	n/a
2022	Feb 16, 2023	$270M	$219M	2	2	2	n/a	n/a
2021	Feb 1, 2022	$306M	$222M	2	2	1	n/a	n/a
2020	Jan 28, 2021	$199M	$153M	2	2	1	n/a	n/a
2019	Mar 2, 2020	$106M	$106M	2	2	0	n/a	n/a
2018	Feb 8, 2019	$92.5M	$92.5M	2	2	0	n/a	n/a
2017	Jan 24, 2018	$93.9M	$93.9M	2	2	0	n/a	n/a
2016	Jan 9, 2017	$72.4M	$72.4M	3	2	n/a	n/a	n/a
2015	Mar 3, 2016	$63.9M	$63.9M	2	1	n/a	n/a	n/a
2014	Feb 6, 2015	$90.6M	$48.6M	1	1	n/a	n/a	n/a
2013	Jan 9, 2014	$76.4M	$34.4M	1	1	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$280M	$286M	-2.0%	$270M	1.2%	3	2	2	2

Relationships

Registered with (3)

← BRANDT AUGUSTUS SAKAKEENYAdvisorregistration: previous registration
Sep 30, 2016 to Dec 31, 2018factForm ADV
← ERIC RICHARD KATZMANAdvisorregistration: previous registration
Jan 6, 2017 to Dec 31, 2018factForm ADV
← TREVOR JAMES SMALLWOODAdvisorregistration: previous registration
Aug 13, 2009 to Jul 1, 2011factForm ADV

Controls (2)

← SAKAKEENY, BRANDT, AUGUSTUSOwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 26, 2013 to Mar 7, 2024factForm ADV
← KATZMAN, ERIC, RICHARDOwnerPARTNER AND CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 13, 2016 to Mar 7, 2024factForm ADV

Owns (1)

← SAKAKEENY, MARGARET, COwnerMEMBER, ownership code C, individual
Feb 26, 2013 to Mar 7, 2024factForm ADV

Dated events

Occurred
Feb 1, 2022
Regulatory AUM changed
Rockingstone Advisors reported RAUM $306.0M, up 54% from $199.3M (2021-11-09 to 2022-02-01)
Form ADVobserved 4 days ago
$107M
Occurred
Feb 26, 2013
First Form ADV filing
Rockingstone Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07256847-752f-5862-11fa-d3cff20fa47a
First observed: Feb 26, 2013
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROCKINGSTONE ADVISORS

ROCKINGSTONE ADVISORS LLC, CRD 149592

GREAT BARRINGTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07256847-752f-5862-11fa-d3cff20fa47a

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ERIC RICHARD KATZMAN

Chartered Financial Analyst

GREAT BARRINGTON, MA

BRANDT AUGUSTUS SAKAKEENY

n/a

Harrison, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KATZMAN, ERIC, RICHARD

PARTNER AND CO-CHIEF INVESTMENT OFFICER

yes

09/2016

Sep 13, 2016

Mar 7, 2024

SAKAKEENY, BRANDT, AUGUSTUS

CHIEF COMPLIANCE OFFICER

yes

01/2009

Feb 26, 2013

Mar 7, 2024

SAKAKEENY, MARGARET, C

Member

01/2009

Feb 26, 2013

Mar 7, 2024

City

State

Country

Employees

Also broker-dealer

DELRAY BEACH

United States

Harrison

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$280M

n/a

2024

Feb 19, 2025

$286M

$270M

n/a

2023

Mar 1, 2024

$271M

$260M

n/a

2022

Feb 16, 2023

$270M

$219M

n/a

2021

Feb 1, 2022

$306M

$222M

n/a

2020

Jan 28, 2021

$199M

$153M

n/a

2019

Mar 2, 2020

$106M

n/a

2018

Feb 8, 2019

$92.5M

n/a

2017

Jan 24, 2018

$93.9M

n/a

2016

Jan 9, 2017

$72.4M

n/a

2015

Mar 3, 2016

$63.9M

n/a

2014

Feb 6, 2015

$90.6M

$48.6M

n/a

2013

Jan 9, 2014

$76.4M

$34.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$280M

$286M

-2.0%

$270M

1.2%