DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Rootstock Advisors
Legal name Rootstock Investment Management, LLC.
Latest filing Mar 27, 2024
First filing on the tape Apr 29, 2013 · 21 filings
SEC status approved since May 8, 2013
RAUM
$496M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
98%
$486M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$496M as of Mar 27, 2024
Mar 28, 2014$199M then
HNW client RAUM$483M as of Mar 27, 2024
Mar 19, 2018$354M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 28, 20141 then
Employees (5.A)3 as of Mar 27, 2024
Mar 28, 20142 then
Private funds: no history
RAUM +14% over the last fiscal year+2.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $496MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $26.8MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $198M, 76 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$483M97%
- Charitable organizations$9.5M1.9%
- Individuals$3.2M0.6%
- Individual clients
- 10reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 191reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $198M for 76 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Gregory James Simpson to CorientMar 18, 2025 · RIA to RIA
- James E Blue to Wealthcare Advisory Partners LLCAug 24, 2021 · RIA to RIA
- Serhiy Zayats to Fragasso Financial AdvisorsJul 10, 2020 · RIA to RIA
Joined, latest
- Serhiy Zayats from Commonwealth Investment ManagementAug 30, 2019 · Other
- James E Blue from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 10, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Gregory Simpson · Managing Member And Chief Compliance Officercontrolsince 04/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sewickley, Pa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 193 to 191Mar 27, 2023 to Mar 27, 2024
- HNW clients · 16 to 18Mar 27, 2023 to Mar 27, 2024
- Individual clients · 13 to 10Mar 27, 2023 to Mar 27, 2024
- Assets in custody · $180M to $198MMar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $351M to $397MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $423M to $483MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $3.4M to $3.2MMar 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $84.4M to $98.6MMar 27, 2023 to Mar 27, 2024
- RAUM · $435M to $496MMar 27, 2023 to Mar 27, 2024
- Accounts · 191 to 193Mar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $300M to $351MMar 30, 2022 to Mar 27, 2023
- HNW RAUM · $522M to $423MMar 30, 2022 to Mar 27, 2023
- Individual RAUM · $4.5M to $3.4MMar 30, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $236M to $84.4MMar 30, 2022 to Mar 27, 2023
- RAUM · $536M to $435MMar 30, 2022 to Mar 27, 2023
- Accounts · 215 to 191Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 2 to 1Mar 31, 2021 to Mar 30, 2022
- HNW clients · 22 to 16Mar 31, 2021 to Mar 30, 2022
- Individual clients · 17 to 13Mar 31, 2021 to Mar 30, 2022
- Pension plan clients · 1.0 to unsetMar 31, 2021 to Mar 30, 2022
- Assets in custody · $175M to $180MMar 31, 2021 to Mar 30, 2022
- State-registered IARs · 2 to 1Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $216M to $300MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $449M to $522MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $5.0M to $4.5MMar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $250M to $236MMar 31, 2021 to Mar 30, 2022
- Pension RAUM · 1285005.0 to unsetMar 31, 2021 to Mar 30, 2022
- RAUM · $466M to $536MMar 31, 2021 to Mar 30, 2022
- Accounts · 222 to 215Jun 23, 2020 to Mar 31, 2021
- Charity clients · 2 to 3Jun 23, 2020 to Mar 31, 2021
- Assets in custody · $147M to $175MJun 23, 2020 to Mar 31, 2021
- Employees · 4 to 3Jun 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $163M to $216MJun 23, 2020 to Mar 31, 2021
- HNW RAUM · $356M to $449MJun 23, 2020 to Mar 31, 2021
- Individual RAUM · $4.7M to $5.0MJun 23, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $209M to $250MJun 23, 2020 to Mar 31, 2021
- Pension RAUM · $1.0M to $1.3MJun 23, 2020 to Mar 31, 2021
- RAUM · $372M to $466MJun 23, 2020 to Mar 31, 2021
- Accounts · 211 to 222Mar 21, 2019 to Feb 24, 2020
- Charity clients · unset to 2.0Mar 21, 2019 to Feb 24, 2020
Signals
5 dated events
- Rootstock Advisors no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $495.9M)May 2, 2025 · Left the SEC roster · derived
- Gregory James Simpson left Rootstock Advisors for Corient (registered 2025-02-25)Mar 18, 2025 · Advisor changed firm · fact
- Russell James Hadaway (Chief Compliance Officer) no longer on Schedule A of Rootstock Advisors (listed 2020-02-24, absent 2020-04-07)Apr 7, 2020 · Control person left · inference
- Russell James Hadaway (Chief Compliance Officer) appeared on Schedule A of Rootstock AdvisorsMar 21, 2019 · Control person joined · fact
- Rootstock Investment Management filed its initial SEC registration (Form ADV)Apr 29, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026