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

ROCKWOOD CAPITAL ADVISORS LLC

CRD 108644

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:f9fb30f3-3fd2-e763-fcb9-160e82e5bb2c

Data as of Mar 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Mar 27, 2012 to Mar 29, 2023
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
Regulatory AUM: $249MItem 5.F on the latest filing (2023-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $249M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 15
Individual clients: 0
High net worth clients: 0
SEC number: 801-54163
CRD: 108644
Filings on the tape: 15
First filed: Mar 27, 2012
Latest filed: Mar 29, 2023
Organised: Limited Liability Company, Missouri

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ROCKWOOD STRATEGIC EQUITY FUND, LLC	Other Private Fund	$2.9M	Dec 14, 2015	3	Mar 27, 2012	dropped	n/a
ROCKWOOD STRATEGIC BOND FUND, LLC	Other Private Fund	$2.5M	Dec 14, 2015	4	Mar 27, 2012	dropped	n/a

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
BROWN, ANTHONY, KENNETH	SENIOR PARTNER AND DIRECTOR OF MARKETING	B	yes	03/1997	Mar 27, 2012	Mar 29, 2023
HOLTGRIEVE, DONALD, ANDREW	MANAGING PARTNER AND CHIEF OPERATING OFFICER	B	yes	03/1997	Mar 27, 2012	Mar 29, 2023
RAPPONOTTI, PAUL, DAVID	MANAGING PARTNER AND CHIEF INVESTMENT OFFICER	B	yes	03/1997	Mar 27, 2012	Mar 29, 2023
WILDEISEN, LISA, LONGO	CHIEF COMPLIANCE OFFICER	A	yes	10/2004	Mar 27, 2012	Mar 29, 2023
BANK ONE CAPITAL FLORIDA, LLC	PREFERRED OWNER	B	no	03/1997	Mar 26, 2018	Mar 29, 2023

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
2022	Mar 29, 2023	$249M	$249M	5	5	0	n/a	n/a
2021	Mar 29, 2022	$393M	$393M	5	5	0	n/a	n/a
2020	Mar 30, 2021	$388M	$388M	5	5	0	n/a	n/a
2019	Mar 13, 2020	$318M	$318M	6	6	0	n/a	n/a
2018	Mar 27, 2019	$301M	$301M	6	6	0	n/a	n/a
2017	Mar 26, 2018	$298M	$298M	6	6	0	n/a	n/a
2016	Mar 8, 2017	$535M	$299M	6	6	n/a	n/a	n/a
2015	Mar 16, 2016	$578M	$324M	6	6	n/a	n/a	n/a
2014	Mar 25, 2015	$602M	$374M	6	6	n/a	2	$5.4M
2013	Mar 27, 2014	$590M	$406M	6	6	n/a	2	$12.4M
2012	Mar 27, 2013	$554M	$387M	6	6	n/a	2	$14.5M
2011	Mar 27, 2012	$573M	$373M	n/a	n/a	n/a	2	$14.1M

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
2022	$249M	$393M	-36.7%	$318M	-7.8%	5	5	0	0

Relationships

Controls (4)

← HOLTGRIEVE, DONALD, ANDREWOwnerMANAGING PARTNER AND CHIEF OPERATING OFFICER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← RAPPONOTTI, PAUL, DAVIDOwnerMANAGING PARTNER AND CHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← WILDEISEN, LISA, LONGOOwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 27, 2012 to presentfactForm ADV
← BROWN, ANTHONY, KENNETHOwnerSENIOR PARTNER AND DIRECTOR OF MARKETING, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV

Owns (1)

← BANK ONE CAPITAL FLORIDA, LLCOwnerPREFERRED OWNER, ownership code B, domestic entity
Mar 26, 2018 to presentfactForm ADV

Advises (2)

→ ROCKWOOD STRATEGIC BOND FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Mar 27, 2012 to Dec 14, 2015factForm ADV
→ ROCKWOOD STRATEGIC EQUITY FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Mar 27, 2012 to Dec 14, 2015factForm ADV

Dated events

Occurred
Mar 29, 2023
Regulatory AUM changed
Rockwood Capital Advisors Llc reported RAUM $248.8M, down 37% from $393.1M (2023-01-05 to 2023-03-29)
Form ADVobserved 4 days ago
$-144M
Occurred
Mar 30, 2021
Control person left
William Daniel Lane (Senior Partner And Senior Portfolio Manager) no longer on Schedule A of Rockwood Capital Advisors Llc (listed 2020-03-13, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2019
Control person left
S John Mccarthy (Director) no longer on Schedule A of Rockwood Capital Advisors Llc (listed 2018-03-26, absent 2019-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2018
Regulatory AUM changed
Rockwood Capital Advisors Llc reported RAUM $298.2M, down 44% from $535.2M (2017-03-08 to 2018-03-26)
Form ADVobserved 4 days ago
$-237M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9fb30f3-3fd2-e763-fcb9-160e82e5bb2c
First observed: Mar 27, 2012
Last observed: Mar 29, 2023 42 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.

ROCKWOOD CAPITAL ADVISORS LLC

CRD 108644

ST. LOUIS, MO

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:f9fb30f3-3fd2-e763-fcb9-160e82e5bb2c

Data as of Mar 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:58 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ROCKWOOD STRATEGIC EQUITY FUND, LLC

Other Private Fund

$2.9M

Dec 14, 2015

Mar 27, 2012

dropped

n/a

ROCKWOOD STRATEGIC BOND FUND, LLC

Other Private Fund

$2.5M

Dec 14, 2015

Mar 27, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, ANTHONY, KENNETH

SENIOR PARTNER AND DIRECTOR OF MARKETING

yes

03/1997

Mar 27, 2012

Mar 29, 2023

HOLTGRIEVE, DONALD, ANDREW

MANAGING PARTNER AND CHIEF OPERATING OFFICER

yes

03/1997

Mar 27, 2012

Mar 29, 2023

RAPPONOTTI, PAUL, DAVID

MANAGING PARTNER AND CHIEF INVESTMENT OFFICER

yes

03/1997

Mar 27, 2012

Mar 29, 2023

WILDEISEN, LISA, LONGO

CHIEF COMPLIANCE OFFICER

yes

10/2004

Mar 27, 2012

Mar 29, 2023

BANK ONE CAPITAL FLORIDA, LLC

PREFERRED OWNER

03/1997

Mar 26, 2018

Mar 29, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 29, 2023

$249M

n/a

2021

Mar 29, 2022

$393M

n/a

2020

Mar 30, 2021

$388M

n/a

2019

Mar 13, 2020

$318M

n/a

2018

Mar 27, 2019

$301M

n/a

2017

Mar 26, 2018

$298M

n/a

2016

Mar 8, 2017

$535M

$299M

n/a

2015

Mar 16, 2016

$578M

$324M

n/a

2014

Mar 25, 2015

$602M

$374M

n/a

$5.4M

2013

Mar 27, 2014

$590M

$406M

n/a

$12.4M

2012

Mar 27, 2013

$554M

$387M

n/a

$14.5M

2011

Mar 27, 2012

$573M

$373M

n/a

$14.1M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$249M

$393M

-36.7%

$318M

-7.8%