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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ROCK POINT ADVISORS, LLC

CRD 130825

BURLINGTON, VT

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:1abfcb3c-9cd8-09f5-89df-10d373a93adc

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Mar 12, 2012 to Mar 24, 2026
42 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=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $656MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $656M
Private client RAUM: $607MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $164Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 493
Individual clients: 82
High net worth clients: 150
Custody, client assets: $397M
SEC number: 801-62923
CIK: 1301540
CRD: 130825
Filings on the tape: 42
First filed: Mar 12, 2012
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, VT
Website: rockpointadvisors.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
TODD ALAN WULFSON	Chartered Financial Analyst	BURLINGTON, VT	22	29	1	no
MICHAEL LEIGHTON HUFFMAN	Chartered Financial Analyst	BURLINGTON, VT	21	28	1	no
TIMOTHY A HUMPHREY	Certified Financial Planner\|Chartered Financial Analyst	BURLINGTON, VT	11	17	2	no
Jackson Adrien Bargiello	n/a	BURLINGTON, VT	0	12	n/a	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
HUFFMAN, MICHAEL, LEIGHTON	President	D	yes	03/2004	Mar 12, 2012	Oct 2, 2024
HUMPHREY, TIMOTHY, A	WEALTH MANAGER	B	yes	12/2019	Mar 5, 2020	Oct 2, 2024
WULFSON, TODD, ALAN	VICE PRESIDENT, CCO	C	yes	05/2004	Mar 12, 2012	Oct 2, 2024

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 24, 2026	$656M	$656M	9	5	0	n/a	n/a
2024	Mar 27, 2025	$560M	$560M	9	6	0	n/a	n/a
2023	Mar 20, 2024	$527M	$527M	9	5	0	n/a	n/a
2022	Mar 30, 2023	$460M	$460M	9	6	0	n/a	n/a
2021	Mar 28, 2022	$554M	$554M	9	6	0	n/a	n/a
2020	Mar 26, 2021	$447M	$447M	10	7	0	n/a	n/a
2019	Mar 5, 2020	$391M	$391M	9	5	0	n/a	n/a
2018	Mar 13, 2019	$320M	$319M	9	5	0	n/a	n/a
2017	Mar 5, 2018	$346M	$345M	9	5	0	n/a	n/a
2016	Mar 6, 2017	$296M	$295M	9	5	n/a	n/a	n/a
2015	Mar 3, 2016	$275M	$274M	9	5	n/a	n/a	n/a
2014	Mar 13, 2015	$305M	$304M	9	5	n/a	n/a	n/a
2013	Mar 27, 2014	$352M	$351M	6	4	n/a	n/a	n/a
2012	Mar 28, 2013	$295M	$295M	6	4	n/a	n/a	n/a
2011	Mar 12, 2012	$271M	$271M	n/a	n/a	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	1	-1	25.0%	0	0	0	1	1

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	$656M	$560M	17.0%	$460M	12.5%	9	9	0	0

Relationships

Registered with (7)

← Jackson Adrien BargielloAdvisorregistration: current employment
Jan 8, 2026 to presentfactForm ADV
← TIMOTHY A HUMPHREYAdvisorregistration: current employment
Mar 13, 2015 to presentfactForm ADV
← MICHAEL LEIGHTON HUFFMANAdvisorregistration: current employment
Jan 28, 2005 to presentfactForm ADV
← TODD ALAN WULFSONAdvisorregistration: current employment
May 28, 2004 to presentfactForm ADV
← EVAN ISAIAH PEMBERTONAdvisorregistration: previous registration
Dec 23, 2008 to Oct 27, 2014factForm ADV
← MATTHEW PERRY WOOTTENAdvisorregistration: previous registration
Jun 18, 2004 to Mar 12, 2014factForm ADV
← JASON JAMES FRANKAdvisorregistration: previous registration
Jul 10, 2013 to Mar 12, 2014factForm ADV

Controls (3)

← HUFFMAN, MICHAEL, LEIGHTONOwnerPRESIDENT, ownership code D, individual
Mar 12, 2012 to Oct 2, 2024factForm ADV
← WULFSON, TODD, ALANOwnerVICE PRESIDENT, CCO, ownership code C, individual
Mar 12, 2012 to Oct 2, 2024factForm ADV
← HUMPHREY, TIMOTHY, AOwnerWEALTH MANAGER, ownership code B, individual
Mar 5, 2020 to Oct 2, 2024factForm ADV

Dated events

Occurred
Dec 10, 2020
Control person left
Richard Brian Culver (Chief Compliance Officer) no longer on Schedule A of Rock Point Advisors, Llc (listed 2020-07-01, absent 2020-12-10)
Form ADVobserved 5 days ago
Occurred
Mar 5, 2020
Control person joined
A Timothy Humphrey (Wealth Manager) appeared on Schedule A of Rock Point Advisors, Llc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1abfcb3c-9cd8-09f5-89df-10d373a93adc
First observed: Mar 12, 2012
Last observed: Mar 24, 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.

ROCK POINT ADVISORS, LLC

CRD 130825

BURLINGTON, VT

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:1abfcb3c-9cd8-09f5-89df-10d373a93adc

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TODD ALAN WULFSON

Chartered Financial Analyst

BURLINGTON, VT

MICHAEL LEIGHTON HUFFMAN

Chartered Financial Analyst

BURLINGTON, VT

TIMOTHY A HUMPHREY

Certified Financial Planner|Chartered Financial Analyst

BURLINGTON, VT

Jackson Adrien Bargiello

n/a

BURLINGTON, VT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HUFFMAN, MICHAEL, LEIGHTON

President

yes

03/2004

Mar 12, 2012

Oct 2, 2024

HUMPHREY, TIMOTHY, A

WEALTH MANAGER

yes

12/2019

Mar 5, 2020

Oct 2, 2024

WULFSON, TODD, ALAN

VICE PRESIDENT, CCO

yes

05/2004

Mar 12, 2012

Oct 2, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$656M

n/a

2024

Mar 27, 2025

$560M

n/a

2023

Mar 20, 2024

$527M

n/a

2022

Mar 30, 2023

$460M

n/a

2021

Mar 28, 2022

$554M

n/a

2020

Mar 26, 2021

$447M

n/a

2019

Mar 5, 2020

$391M

n/a

2018

Mar 13, 2019

$320M

$319M

n/a

2017

Mar 5, 2018

$346M

$345M

n/a

2016

Mar 6, 2017

$296M

$295M

n/a

2015

Mar 3, 2016

$275M

$274M

n/a

2014

Mar 13, 2015

$305M

$304M

n/a

2013

Mar 27, 2014

$352M

$351M

n/a

2012

Mar 28, 2013

$295M

n/a

2011

Mar 12, 2012

$271M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

25.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$656M

$560M

17.0%

$460M

12.5%