DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ROUND ROCK ADVISORS LLC

CRD 286007

WILTON, CT

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:3100deb5-dfc4-fd13-9c6f-44a78f36ad82

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 16
On other graphs: 0
Observed: Jan 13, 2017 to Jun 22, 2026
49 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=0.8 fund_share=0.08 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $907MItem 5.F on the latest filing (2026-06-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $907M
Private client RAUM: $729MderivedItem 5.D individuals plus high net worth individuals
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $101Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 22
Advisory employees: 12
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,935
Individual clients: 420
High net worth clients: 202
Custody, client assets: $169M
SEC number: 801-108989
CIK: 1846991
CRD: 286007
Filings on the tape: 49
First filed: Jan 13, 2017
Latest filed: Jun 22, 2026
Organised: Limited Liability Company, CT
Website: roundrockadvisors.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
JOHN ROBERT PLANELL	Certified Financial Planner	WILTON, CT	9	41	1	no
BERT THOMAS BOWLER	Certified Financial Planner	WILTON, CT	9	32	1	no
CRAIG DAN JENSEN	n/a	WILTON, CT	6	26	2	no
Scott Leonard Dynan	n/a	WILTON, CT	6	27	3	no
ROBERT ALAN WEINSTEIN	Certified Financial Planner\|Personal Financial Specialist	HARRISON, NY \| WILTON, CT	4	40	3	no
LYNDA KOMMEL-BROWNE	Chartered Financial Analyst	WILTON, CT	4	41	1	no
JEFFREY MITCHELL SHAW	n/a	WILTON, CT	2	42	1	no
Elaine Votier Biersack	n/a	WILTON, CT	2	12	1	no
Allison Costas	n/a	WILTON, CT	1	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
BOWLER, BERT, THOMAS	MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR	D	yes	04/2017	Apr 21, 2017	Nov 1, 2024
JENSEN, CRAIG, DAN	MEMBER, CCO AND PRIVATE WEALTH ADVISOR	D	yes	11/2023	Nov 7, 2023	Nov 1, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Harrison	NY	United States	1	no
WHITE PLAINS	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; showing 9 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$907M	$907M	22	12	1	n/a	n/a
2024	Mar 28, 2025	$815M	$807M	24	14	2	n/a	n/a
2023	Mar 21, 2024	$673M	$644M	19	10	2	n/a	n/a
2022	Mar 2, 2023	$485M	$457M	16	9	2	n/a	n/a
2021	Mar 17, 2022	$493M	$469M	13	9	2	n/a	n/a
2020	Feb 17, 2021	$261M	$225M	11	7	0	n/a	n/a
2019	Feb 18, 2020	$209M	$209M	8	5	0	n/a	n/a
2018	Mar 9, 2019	$221M	$168M	8	5	0	n/a	n/a
2017	Mar 14, 2018	$205M	$177M	10	5	0	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	2	-2	22.2%	0	0	0	5	5

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	$907M	$815M	11.3%	$485M	23.2%	22	24	1	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AGILIS INVESTMENT MANAGEMENT LLC	3	Jun 10, 2025	Jun 11, 2025	WILTON, CT	Team lift out	RIA to new firm	23.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GREENWICH INVESTMENT MANAGEMENT, INC.	3	Nov 5, 2024	Nov 3, 2024	NORWALK, CT	Firm absorbed	RIA to RIA	100.0%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Apr 24, 2017	May 3, 2017	POUND RIDGE, NY	Team lift out	Ibd to new firm	0.0%

Relationships

Registered with (16)

← Allison CostasAdvisorregistration: current employment
Jul 30, 2025 to presentfactForm ADV
← Elaine Votier BiersackAdvisorregistration: current employment
May 30, 2024 to presentfactForm ADV
← JEFFREY MITCHELL SHAWAdvisorregistration: current employment
Sep 21, 2023 to presentfactForm ADV
← LYNDA KOMMEL-BROWNEAdvisorregistration: current employment
May 31, 2022 to presentfactForm ADV
← ROBERT ALAN WEINSTEINAdvisorregistration: current employment
Feb 23, 2022 to presentfactForm ADV
← Scott Leonard DynanAdvisorregistration: current employment
Sep 3, 2020 to presentfactForm ADV
← CRAIG DAN JENSENAdvisorregistration: current employment
Jan 24, 2020 to presentfactForm ADV
← BERT THOMAS BOWLERAdvisorregistration: current employment
May 3, 2017 to presentfactForm ADV
← JOHN ROBERT PLANELLAdvisorregistration: current employment
Apr 21, 2017 to presentfactForm ADV
← ROBERT JOSEPH BENNETTAdvisorregistration: previous registration
Jan 16, 2025 to May 18, 2026factForm ADV
← Eamon Hugh MoranAdvisorregistration: previous registration
Jan 5, 2021 to Jan 6, 2026factForm ADV
← NYDIA E. CONCEPCIONAdvisorregistration: previous registration
Nov 3, 2024 to Jun 10, 2025factForm ADV
← HEATHER SIMON SEVILLANOAdvisorregistration: previous registration
Nov 1, 2024 to Jun 10, 2025factForm ADV
← JIN HUAdvisorregistration: previous registration
Nov 1, 2024 to Jun 10, 2025factForm ADV
← Matthew ChamberlinAdvisorregistration: previous registration
Apr 22, 2020 to Aug 9, 2022factForm ADV
← Dixon Place DowneyAdvisorregistration: previous registration
Apr 21, 2017 to Dec 6, 2018factForm ADV

Moved with (3)

→ AGILIS INVESTMENT MANAGEMENT LLCRegistered adviser3 advisors, team lift out, same day
Jun 10, 2025 to Jun 11, 2025factForm ADV
← GREENWICH INVESTMENT MANAGEMENT, INC.Registered adviser3 advisors, firm absorbed, same day
Nov 5, 2024 to Nov 3, 2024factForm ADV
← AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser2 advisors, team lift out, same day
Apr 24, 2017 to May 3, 2017factForm ADV

Controls (2)

← BOWLER, BERT, THOMASOwnerMANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR, ownership code D, individual
Apr 21, 2017 to Nov 1, 2024factForm ADV
← JENSEN, CRAIG, DANOwnerMEMBER, CCO AND PRIVATE WEALTH ADVISOR, ownership code D, individual
Nov 7, 2023 to Nov 1, 2024factForm ADV

Dated events

Occurred
May 18, 2026
Advisor changed firm
Robert Joseph Bennett left Round Rock Advisors Llc for Brighton Jones Llc (registered 2026-06-05)
Form ADVobserved 5 days ago
Occurred
Jan 6, 2026
Advisor changed firm
Eamon Hugh Moran left Round Rock Advisors Llc for Granite Group Advisors, Llc (registered 2026-03-25)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2025
Team lift-out
3 advisors left Round Rock Advisors LLC (Wilton, CT) for Agilis Investment Management LLC on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Jun 10, 2025
Advisor changed firm
Jin Hu left Round Rock Advisors Llc for Agilis Investment Management Llc (registered 2025-06-11)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2025
Advisor changed firm
Nydia E. Concepcion left Round Rock Advisors Llc for Agilis Investment Management Llc (registered 2025-06-10)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2025
Advisor changed firm
Heather Simon Sevillano left Round Rock Advisors Llc for Agilis Investment Management Llc (registered 2025-06-11)
Form ADVobserved 5 days ago
Occurred
Nov 5, 2024
Firm absorbed
Greenwich Investment Management, Inc.'s advisors moved to Round Rock Advisors LLC (Norwalk, CT): 3 of 3 registered, on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Mar 21, 2024
Regulatory AUM changed
Round Rock Advisors Llc reported RAUM $673.3M, up 39% from $484.8M (2023-11-07 to 2024-03-21)
Form ADVobserved 5 days ago
$188M
Occurred
Nov 7, 2023
Control person left
Berrio Erika Morro (Chief Compliance Officer) no longer on Schedule A of Round Rock Advisors Llc (listed 2023-09-15, absent 2023-11-07)
Form ADVobserved 5 days ago
Occurred
Nov 7, 2023
Control person joined
Dan Craig Jensen (Member And Cco) appeared on Schedule A of Round Rock Advisors Llc
Form ADVobserved 5 days ago
Occurred
Nov 28, 2022
Control person joined
Berrio Erika Morro (Chief Compliance Officer) appeared on Schedule A of Round Rock Advisors Llc
Form ADVobserved 5 days ago
Occurred
Nov 28, 2022
Control person left
Erika B Morro (Chief Compliance Officer) no longer on Schedule A of Round Rock Advisors Llc (listed 2022-11-11, absent 2022-11-28)
Form ADVobserved 5 days ago
Occurred
Nov 11, 2022
Control person joined
Erika B Morro (Chief Compliance Officer) appeared on Schedule A of Round Rock Advisors Llc
Form ADVobserved 5 days ago
Occurred
Aug 9, 2022
Advisor changed firm
Matthew Chamberlin left Round Rock Advisors Llc for Ameriprise Financial Services, Llc (registered 2022-08-12)
Form ADVobserved 5 days ago
Occurred
Mar 17, 2022
Regulatory AUM changed
Round Rock Advisors Llc reported RAUM $492.7M, up 89% from $261.1M (2021-11-19 to 2022-03-17)
Form ADVobserved 5 days ago
$232M
Occurred
Jan 13, 2017
First Form ADV filing
Rr Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3100deb5-dfc4-fd13-9c6f-44a78f36ad82
First observed: Jan 13, 2017
Last observed: Jun 22, 2026 3 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.

ROUND ROCK ADVISORS LLC

CRD 286007

WILTON, CT

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:3100deb5-dfc4-fd13-9c6f-44a78f36ad82

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN ROBERT PLANELL

Certified Financial Planner

WILTON, CT

BERT THOMAS BOWLER

Certified Financial Planner

WILTON, CT

CRAIG DAN JENSEN

n/a

WILTON, CT

Scott Leonard Dynan

n/a

WILTON, CT

ROBERT ALAN WEINSTEIN

Certified Financial Planner|Personal Financial Specialist

HARRISON, NY | WILTON, CT

LYNDA KOMMEL-BROWNE

Chartered Financial Analyst

WILTON, CT

JEFFREY MITCHELL SHAW

n/a

WILTON, CT

Elaine Votier Biersack

n/a

WILTON, CT

Allison Costas

n/a

WILTON, CT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWLER, BERT, THOMAS

MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR

yes

04/2017

Apr 21, 2017

Nov 1, 2024

JENSEN, CRAIG, DAN

MEMBER, CCO AND PRIVATE WEALTH ADVISOR

yes

11/2023

Nov 7, 2023

Nov 1, 2024

City

State

Country

Employees

Also broker-dealer

Harrison

United States

WHITE PLAINS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$907M

n/a

2024

Mar 28, 2025

$815M

$807M

n/a

2023

Mar 21, 2024

$673M

$644M

n/a

2022

Mar 2, 2023

$485M

$457M

n/a

2021

Mar 17, 2022

$493M

$469M

n/a

2020

Feb 17, 2021

$261M

$225M

n/a

2019

Feb 18, 2020

$209M

n/a

2018

Mar 9, 2019

$221M

$168M

n/a

2017

Mar 14, 2018

$205M

$177M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

22.2%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$907M

$815M

11.3%

$485M

23.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AGILIS INVESTMENT MANAGEMENT LLC

Jun 10, 2025

Jun 11, 2025

WILTON, CT

Team lift out

RIA to new firm

23.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GREENWICH INVESTMENT MANAGEMENT, INC.

Nov 5, 2024

Nov 3, 2024

NORWALK, CT

Firm absorbed

RIA to RIA

100.0%

AMERIPRISE FINANCIAL SERVICES, LLC

Apr 24, 2017

May 3, 2017

POUND RIDGE, NY

Team lift out

Ibd to new firm

0.0%