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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SPOUTING ROCK RETIREMENT SOLUTIONS, LLC

CRD 172353

BRYN MAWR, PA

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:737aacff-0214-0348-ad68-007977bab5cc

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Jul 31, 2014 to Mar 31, 2022
15 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-80175
CRD: 172353
Filings on the tape: 15
First filed: Jul 31, 2014
Latest filed: Mar 31, 2022
Organised: Limited Liability Company, Delaware

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
DALY, ANDREW, MCLEAN	CCO AND COO	Na	yes	02/2020	Apr 13, 2021	Mar 31, 2022
PAGE, BLAKELY, CHAPMAN	MANAGING MEMBER	D	yes	06/2013	Jul 31, 2014	Mar 31, 2022
PAGE, BLAKELY, CHAPMAN	President	Na	yes	06/2014	Jul 31, 2014	Mar 31, 2022
SMITH, ANDREW, ALASDAIR	CHIEF EXECUTIVE OFFICER	Na	yes	03/2018	Mar 13, 2018	Mar 31, 2022
SPOUTING ROCK FINANCIAL PARTNERS, LLC	DIRECT OWNER	E	yes	06/2014	Jul 31, 2014	Mar 31, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PENN CAPITAL MANAGEMENT COMPANY, LLC	n/a	Other adviser	$1.9B	N	yes	n/a
SPOUTING ROCK ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$455M	N	yes	n/a
SPOUTING ROCK GP, LLC	n/a	n/a	n/a	Y	yes	n/a
SPOUTING ROCK INVESTMENT ASSOCIATES, LLC	n/a	n/a	n/a	N	yes	n/a
SPOUTING ROCK INVESTMENTS, LP	n/a	n/a	n/a	N	yes	n/a

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
2021	Mar 31, 2022	n/a	n/a	4	1	0	n/a	n/a
2020	Apr 13, 2021	n/a	n/a	4	1	0	n/a	n/a
2019	Mar 30, 2020	n/a	n/a	3	3	0	n/a	n/a
2018	Mar 29, 2019	n/a	n/a	3	3	1	n/a	n/a
2017	Mar 13, 2018	$4.7M	$4.7M	4	4	1	n/a	n/a
2016	Mar 10, 2017	$4.9M	$4.9M	4	3	n/a	n/a	n/a
2015	Apr 29, 2016	$3.6M	$3.6M	4	3	n/a	n/a	n/a
2014	Mar 25, 2015	$1.7M	$1.7M	5	2	n/a	n/a	n/a

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
2021	n/a	n/a	n/a	n/a	n/a	4	4	0	0

Relationships

Affiliated with (2)

→ PENN CAPITAL MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SPOUTING ROCK ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← DALY, ANDREW, MCLEANOwnerCCO AND COO, ownership code NA, individual
Apr 13, 2021 to presentfactForm ADV
← PAGE, BLAKELY, CHAPMANOwnerMANAGING MEMBER, ownership code D, individual
Jul 31, 2014 to presentfactForm ADV
← SMITH, ANDREW, ALASDAIROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 13, 2018 to presentfactForm ADV
← SPOUTING ROCK FINANCIAL PARTNERS, LLCOwnerDIRECT OWNER, ownership code E, domestic entity
Jul 31, 2014 to presentfactForm ADV

Dated events

Occurred
Mar 31, 2022
Control person left
Alfred Michael Hullings (Chief Compliance Officer) no longer on Schedule A of Spouting Rock Retirement Solutions, Llc (listed 2021-04-13, absent 2022-03-31)
Form ADVobserved 6 days ago
Occurred
Apr 13, 2021
Control person joined
Mclean Andrew Daly (Chief Operating Officer) appeared on Schedule A of Spouting Rock Retirement Solutions, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Succession filed (Item 4)
Spouting Rock Fund Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Jul 31, 2014
First Form ADV filing
Spouting Rock Fund Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:737aacff-0214-0348-ad68-007977bab5cc
First observed: Jul 31, 2014
Last observed: Mar 31, 2022 54 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.

SPOUTING ROCK RETIREMENT SOLUTIONS, LLC

CRD 172353

BRYN MAWR, PA

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:737aacff-0214-0348-ad68-007977bab5cc

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DALY, ANDREW, MCLEAN

CCO AND COO

yes

02/2020

Apr 13, 2021

Mar 31, 2022

PAGE, BLAKELY, CHAPMAN

MANAGING MEMBER

yes

06/2013

Jul 31, 2014

Mar 31, 2022

PAGE, BLAKELY, CHAPMAN

President

yes

06/2014

Jul 31, 2014

Mar 31, 2022

SMITH, ANDREW, ALASDAIR

CHIEF EXECUTIVE OFFICER

yes

03/2018

Mar 13, 2018

Mar 31, 2022

SPOUTING ROCK FINANCIAL PARTNERS, LLC

DIRECT OWNER

yes

06/2014

Jul 31, 2014

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PENN CAPITAL MANAGEMENT COMPANY, LLC

n/a

Other adviser

$1.9B

yes

n/a

SPOUTING ROCK ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$455M

yes

n/a

SPOUTING ROCK GP, LLC

n/a

yes

n/a

SPOUTING ROCK INVESTMENT ASSOCIATES, LLC

n/a

yes

n/a

SPOUTING ROCK INVESTMENTS, LP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

n/a

2020

Apr 13, 2021

n/a

2019

Mar 30, 2020

n/a

2018

Mar 29, 2019

n/a

2017

Mar 13, 2018

$4.7M

n/a

2016

Mar 10, 2017

$4.9M

n/a

2015

Apr 29, 2016

$3.6M

n/a

2014

Mar 25, 2015

$1.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

n/a