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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

CRD 115754

SYRACUSE, NY

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:85245aa1-d871-d4d7-7ff5-7d0ebe26a985

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 10
On other graphs: 0
Observed: Mar 28, 2012 to Jul 14, 2026
26 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=0.74 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8BItem 5.F on the latest filing (2026-07-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $167Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 18
Advisory employees: 13
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4,133
Individual clients: 1,202
High net worth clients: 316
Custody, client assets: $23.1M
SEC number: 801-60639
CRD: 115754
Filings on the tape: 26
First filed: Mar 28, 2012
Latest filed: Jul 14, 2026
Organised: Limited Liability Company, NY

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
Nicholas Anthony Stancato	Certified Financial Planner	SYRACUSE, NY	5	19	n/a	no
CLAIRE ELIZABETH ARIGLIO	n/a	SYRACUSE, NY	5	11	n/a	no
ANTHONY ROBERT FARELLA	Certified Financial Planner	SYRACUSE, NY	5	18	n/a	no
PATRICK EUGENE ROHE	Certified Financial Planner	SYRACUSE, NY	5	18	1	no
DAVID MATTHEW CARROLL	Certified Financial Planner	SYRACUSE, NY	5	14	1	no
Zachary Dillon DeBottis	Certified Financial Planner	SYRACUSE, NY	5	11	n/a	no
CRAIG ALLEN BUCKHOUT	Chartered Financial Analyst	SYRACUSE, NY	5	18	n/a	no
ROBERT JOHN RYAN	n/a	SYRACUSE, NY	5	12	n/a	no
ADAM CHRIS GAGAS	n/a	SYRACUSE, NY	4	16	1	no
ADAM UNDERWOOD	Certified Financial Planner	SYRACUSE, NY	3	13	1	no
David Krawczyk	Certified Financial Planner	SYRACUSE, NY	1	10	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
BUCKHOUT, CRAIG, ALLEN	Manager	A	yes	12/1997	Jul 14, 2026	Jul 14, 2026
CARROLL, DAVID, MATTHEW	Manager	C	yes	01/2025	Jul 14, 2026	Jul 14, 2026
FARELLA, ANTHONY, ROBERT	Manager	B	yes	01/2008	Jul 14, 2026	Jul 14, 2026
Krawczyk, David	CHIEF COMPLIANCE OFFICER	Na	yes	01/2026	Jul 14, 2026	Jul 14, 2026
ROHE, PATRICK, EUGENE	CHIEF EXECUTIVE OFFICER	C	yes	01/2020	Jul 14, 2026	Jul 14, 2026
Stancato, Nicholas, Anthony	CHIEF OPERATING OFFICER	A	yes	01/2020	Jul 14, 2026	Jul 14, 2026
EDWARDS, PATRICIA, ANNE	CHIEF COMPLIANCE OFFICER	Na	yes	04/2015	Jul 22, 2015	Oct 17, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Cazenovia	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 27, 2026	$1.8B	$1.8B	18	13	1	n/a	n/a
2024	Mar 27, 2025	$1.7B	$1.6B	21	14	1	n/a	n/a
2023	Mar 28, 2024	$1.5B	$1.4B	21	15	1	n/a	n/a
2022	Mar 29, 2023	$1.3B	$1.2B	19	14	1	n/a	n/a
2021	Mar 30, 2022	$1.6B	$1.5B	17	15	1	n/a	n/a
2020	Mar 29, 2021	$1.0B	$965M	16	13	1	n/a	n/a
2019	Mar 26, 2020	$879M	$848M	16	12	1	n/a	n/a
2018	Mar 26, 2019	$708M	$656M	17	13	1	n/a	n/a
2017	Mar 28, 2018	$718M	$685M	16	13	1	n/a	n/a
2016	Mar 28, 2017	$566M	$541M	13	10	n/a	n/a	n/a
2015	Mar 29, 2016	$493M	$478M	13	11	n/a	n/a	n/a
2014	Mar 31, 2015	$438M	$424M	13	9	n/a	n/a	n/a
2013	Mar 28, 2014	$337M	$326M	14	9	n/a	n/a	n/a
2012	Mar 28, 2013	$315M	$307M	9	7	n/a	n/a	n/a
2011	Mar 28, 2012	$258M	$254M	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	2	-2	18.2%	0	0	0	1	3

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	$1.8B	$1.7B	10.6%	$1.3B	13.3%	18	21	1	1

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
RIALTO WEALTH MANAGEMENT	3	May 26, 2022	Apr 25, 2022	SYRACUSE, NY	Team lift out	RIA to new firm	23.1%

Relationships

Registered with (17)

← David KrawczykAdvisorregistration: current employment
Oct 2, 2024 to presentfactForm ADV
← ADAM UNDERWOODAdvisorregistration: current employment
Sep 22, 2022 to presentfactForm ADV
← ADAM CHRIS GAGASAdvisorregistration: current employment
Dec 15, 2021 to presentfactForm ADV
← ROBERT JOHN RYANAdvisorregistration: current employment
May 30, 2021 to presentfactForm ADV
← CRAIG ALLEN BUCKHOUTAdvisorregistration: current employment
May 27, 2021 to presentfactForm ADV
← ANTHONY ROBERT FARELLAAdvisorregistration: current employment
May 7, 2021 to presentfactForm ADV
← PATRICK EUGENE ROHEAdvisorregistration: current employment
May 7, 2021 to presentfactForm ADV
← DAVID MATTHEW CARROLLAdvisorregistration: current employment
May 7, 2021 to presentfactForm ADV
← Zachary Dillon DeBottisAdvisorregistration: current employment
May 7, 2021 to presentfactForm ADV
← CLAIRE ELIZABETH ARIGLIOAdvisorregistration: current employment
May 6, 2021 to presentfactForm ADV
← Nicholas Anthony StancatoAdvisorregistration: current employment
Mar 22, 2021 to presentfactForm ADV
← Riley LaVanchaAdvisorregistration: previous registration
Mar 14, 2025 to Jun 12, 2026factForm ADV
← KEVIN RENZIE SULLIVANAdvisorregistration: previous registration
May 10, 2021 to Dec 2, 2025factForm ADV
← Madelyn Rose MurrayAdvisorregistration: previous registration
Mar 20, 2025 to Aug 12, 2025factForm ADV
← EDWARD JOHN BARNOAdvisorregistration: previous registration
May 30, 2021 to May 26, 2022factForm ADV
← ETHAN DAVID GILBERTAdvisorregistration: previous registration
May 25, 2021 to May 26, 2022factForm ADV
← MICHAEL L. ANTONACCIAdvisorregistration: previous registration
May 30, 2021 to May 26, 2022factForm ADV

Affiliated with (1)

← DISCIPLINED CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser
factForm ADV

Controls (5)

← EDWARDS, PATRICIA, ANNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 22, 2015 to Oct 17, 2024factForm ADV
← BUCKHOUT, CRAIG, ALLENOwnerMANAGER, ownership code C, individual
Mar 28, 2012 to Oct 17, 2024factForm ADV
← FARELLA, ANTHONY, ROBERTOwnerMANAGER, ownership code C, individual
Mar 28, 2012 to Oct 17, 2024factForm ADV
← ROHE, PATRICK, EUGENEOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Jul 22, 2015 to Oct 17, 2024factForm ADV
← Stancato, Nicholas, AnthonyOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 26, 2020 to Oct 17, 2024factForm ADV

Owns (1)

← CARROLL, DAVID, MATTHEWOwnerMEMBER, ownership code B, individual
Mar 28, 2018 to Oct 17, 2024factForm ADV

Moved with (1)

→ RIALTO WEALTH MANAGEMENTRegistered adviser3 advisors, team lift out, same day
May 26, 2022 to Apr 25, 2022factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 12, 2026
Advisor changed firm
Riley Lavancha left Rockbridge Investment Management, Llc for Bankers Life Advisory Services, Inc. (registered 2026-08-07)
Form ADVobserved 4 days ago
Occurred
Dec 2, 2025
Advisor changed firm
Kevin Renzie Sullivan left Rockbridge Investment Management, Llc for Rialto Wealth Management (registered 2025-12-01)
Form ADVobserved 4 days ago
Occurred
Aug 12, 2025
Advisor changed firm
Madelyn Rose Murray left Rockbridge Investment Management, Llc for Womack Financial Llc (registered 2026-03-05)
Form ADVobserved 4 days ago
Occurred
May 26, 2022
Team lift-out
3 advisors left Rockbridge Investment Management, LLC (Syracuse, NY) for Rialto Wealth Management on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
May 26, 2022
Advisor changed firm
Michael L. Antonacci left Rockbridge Investment Management, Llc for Rialto Wealth Management (registered 2022-04-18)
Form ADVobserved 4 days ago
Occurred
May 26, 2022
Advisor changed firm
Edward John Barno left Rockbridge Investment Management, Llc for Rialto Wealth Management (registered 2022-04-07)
Form ADVobserved 4 days ago
Occurred
May 26, 2022
Advisor changed firm
Ethan David Gilbert left Rockbridge Investment Management, Llc for Rialto Wealth Management (registered 2022-04-25)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Rockbridge Investment Management, Llc reported RAUM $1.6B, up 52% from $1.0B (2021-08-06 to 2022-03-30)
Form ADVobserved 4 days ago
$540M
Occurred
Mar 28, 2018
Regulatory AUM changed
Rockbridge Investment Management, Llc reported RAUM $717.7M, up 27% from $566.0M (2017-03-28 to 2018-03-28)
Form ADVobserved 4 days ago
$152M

Show 1 bookkeeping events

Occurred
Mar 30, 2022
Rockbridge Investment Management, Llc reported 14 state-registered advisory representatives, up from 0 (2021-08-06 to 2022-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85245aa1-d871-d4d7-7ff5-7d0ebe26a985
First observed: Mar 28, 2012
Last observed: Jul 14, 2026 2 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.

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

CRD 115754

SYRACUSE, NY

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:85245aa1-d871-d4d7-7ff5-7d0ebe26a985

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:25 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Nicholas Anthony Stancato

Certified Financial Planner

SYRACUSE, NY

n/a

CLAIRE ELIZABETH ARIGLIO

n/a

SYRACUSE, NY

n/a

ANTHONY ROBERT FARELLA

Certified Financial Planner

SYRACUSE, NY

n/a

PATRICK EUGENE ROHE

Certified Financial Planner

SYRACUSE, NY

DAVID MATTHEW CARROLL

Certified Financial Planner

SYRACUSE, NY

Zachary Dillon DeBottis

Certified Financial Planner

SYRACUSE, NY

n/a

CRAIG ALLEN BUCKHOUT

Chartered Financial Analyst

SYRACUSE, NY

n/a

ROBERT JOHN RYAN

n/a

SYRACUSE, NY

n/a

ADAM CHRIS GAGAS

n/a

SYRACUSE, NY

ADAM UNDERWOOD

Certified Financial Planner

SYRACUSE, NY

David Krawczyk

Certified Financial Planner

SYRACUSE, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUCKHOUT, CRAIG, ALLEN

Manager

yes

12/1997

Jul 14, 2026

CARROLL, DAVID, MATTHEW

Manager

yes

01/2025

Jul 14, 2026

FARELLA, ANTHONY, ROBERT

Manager

yes

01/2008

Jul 14, 2026

Krawczyk, David

CHIEF COMPLIANCE OFFICER

yes

01/2026

Jul 14, 2026

ROHE, PATRICK, EUGENE

CHIEF EXECUTIVE OFFICER

yes

01/2020

Jul 14, 2026

Stancato, Nicholas, Anthony

CHIEF OPERATING OFFICER

yes

01/2020

Jul 14, 2026

EDWARDS, PATRICIA, ANNE

CHIEF COMPLIANCE OFFICER

yes

04/2015

Jul 22, 2015

Oct 17, 2024

City

State

Country

Employees

Also broker-dealer

Cazenovia

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$1.8B

n/a

2024

Mar 27, 2025

$1.7B

$1.6B

n/a

2023

Mar 28, 2024

$1.5B

$1.4B

n/a

2022

Mar 29, 2023

$1.3B

$1.2B

n/a

2021

Mar 30, 2022

$1.6B

$1.5B

n/a

2020

Mar 29, 2021

$1.0B

$965M

n/a

2019

Mar 26, 2020

$879M

$848M

n/a

2018

Mar 26, 2019

$708M

$656M

n/a

2017

Mar 28, 2018

$718M

$685M

n/a

2016

Mar 28, 2017

$566M

$541M

n/a

2015

Mar 29, 2016

$493M

$478M

n/a

2014

Mar 31, 2015

$438M

$424M

n/a

2013

Mar 28, 2014

$337M

$326M

n/a

2012

Mar 28, 2013

$315M

$307M

n/a

2011

Mar 28, 2012

$258M

$254M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

18.2%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.8B

$1.7B

10.6%

$1.3B

13.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RIALTO WEALTH MANAGEMENT

May 26, 2022

Apr 25, 2022

SYRACUSE, NY

Team lift out

RIA to new firm

23.1%