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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BLUEROCK WEALTH MANAGEMENT, LLC

CRD 305670

ALPHARETTA, GA

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:d2e521ac-b585-1cc3-8cb4-8f44bb486a2c

Data as of Jul 8, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Sep 5, 2019 to Jul 8, 2021
7 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
Regulatory AUM: $576MItem 5.F on the latest filing (2021-07-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $576M
Private client RAUM: $563MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,633
Individual clients: 164
High net worth clients: 176
Custody, client assets: $30.0M
SEC number: 801-117447
CRD: 305670
Filings on the tape: 7
First filed: Sep 5, 2019
Latest filed: Jul 8, 2021
Organised: Limited Liability Company, Georgia

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
CHOKSHI, RAJEN, KANTILAL	MANAGING MEMBER	E	yes	08/2019	Sep 5, 2019	Jul 8, 2021
MURRAY, LESLEY	CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	Jan 31, 2020	Jul 8, 2021

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
2020	Mar 11, 2021	$576M	$576M	9	5	0	n/a	n/a
2019	Jan 31, 2020	$465M	$465M	7	4	0	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
2020	$576M	$465M	24.0%	n/a	n/a	9	7	0	0

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
HIGHTOWER ADVISORS, LLC	5	Dec 10, 2021	Oct 20, 2022	ALPHARETTA, GA	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
REDWOOD WEALTH MANAGEMENT, LLC	2	Dec 31, 2019	Jan 21, 2020	ALPHARETTA, GA	Team lift out	RIA to new firm	33.3%

Relationships

Controls (2)

← MURRAY, LESLEYOwnerCHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 31, 2020 to presentfactForm ADV
← CHOKSHI, RAJEN, KANTILALOwnerMANAGING MEMBER, ownership code E, individual
Sep 5, 2019 to presentfactForm ADV

Moved with (2)

→ HIGHTOWER ADVISORS, LLCRegistered adviser5 advisors, firm absorbed, same day
Dec 10, 2021 to Oct 20, 2022factForm ADV
← REDWOOD WEALTH MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2019 to Jan 21, 2020factForm ADV

Registered with (6)

← Alicia SherAdvisorregistration: previous registration
Jan 21, 2020 to Dec 10, 2021factForm ADV
← Seth Taylor AdamsAdvisorregistration: previous registration
May 8, 2020 to Dec 10, 2021factForm ADV
← Rajen Kantilal ChokshiAdvisorregistration: previous registration
Oct 3, 2019 to Dec 10, 2021factForm ADV
← Amanda Kathryn StandardAdvisorregistration: previous registration
Apr 29, 2021 to Dec 10, 2021factForm ADV
← Justin John GilletteAdvisorregistration: previous registration
Mar 5, 2021 to Dec 10, 2021factForm ADV
← Daan Sebastian MutsaersAdvisorregistration: previous registration
Jun 22, 2020 to Sep 29, 2020factForm ADV

Dated events

Occurred
Jan 31, 2020
Control person joined
Lesley Murray (Chief Operating Officer / Chief Compliance Officer) appeared on Schedule A of Bluerock Wealth Management, Llc
Form ADVobserved 4 days ago
Occurred
Sep 5, 2019
First Form ADV filing
Bluerock Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2e521ac-b585-1cc3-8cb4-8f44bb486a2c
First observed: Sep 5, 2019
Last observed: Jul 8, 2021 63 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.

BLUEROCK WEALTH MANAGEMENT, LLC

CRD 305670

ALPHARETTA, GA

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:d2e521ac-b585-1cc3-8cb4-8f44bb486a2c

Data as of Jul 8, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHOKSHI, RAJEN, KANTILAL

MANAGING MEMBER

yes

08/2019

Sep 5, 2019

Jul 8, 2021

MURRAY, LESLEY

CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER

yes

01/2020

Jan 31, 2020

Jul 8, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 11, 2021

$576M

n/a

2019

Jan 31, 2020

$465M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$576M

$465M

24.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HIGHTOWER ADVISORS, LLC

Dec 10, 2021

Oct 20, 2022

ALPHARETTA, GA

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

REDWOOD WEALTH MANAGEMENT, LLC

Dec 31, 2019

Jan 21, 2020

ALPHARETTA, GA

Team lift out

RIA to new firm

33.3%