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.
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SEC-registered adviser
R••••••• A••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Feb 22, 2021 · 11 filings
SEC status approved since Mar 25, 2021
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$174M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$174M as of Feb 25, 2026
Jan 31, 2022$123M then
HNW client RAUM$170M as of Feb 25, 2026
Jan 31, 2022$123M then
State-registered IARs (5.B.3)1 as of Feb 25, 2026
Jan 31, 20221 then
Employees (5.A)2 as of Feb 25, 2026
Jan 31, 20222 then
Private funds: no history
RAUM +9.3% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $6.7M, 7 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$170M97%
- Pension and profit-sharing plans$2.7M1.6%
- Charitable organizations$1.2M0.7%
- Individuals$519,6470.3%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 171reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• C••••• B••••••••Chartered Financial Analyst | Victor, Id | Jun 20, 2017 | 11 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• C••••• B•••••••• from M••••• S••••••Jun 20, 2017 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••••• C••••• · Principal And Chief Compliance Officercontrolsince 05/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 158 to 171Mar 6, 2025 to Feb 25, 2026
- HNW clients · 26 to 24Mar 6, 2025 to Feb 25, 2026
- Assets in custody · $15.3M to $6.7MMar 6, 2025 to Feb 25, 2026
- Employees · 3 to 2Mar 6, 2025 to Feb 25, 2026
- Financial planning clients · 1-10 to 11-25Mar 6, 2025 to Feb 25, 2026
- Discretionary RAUM · $159M to $174MMar 6, 2025 to Feb 25, 2026
- HNW RAUM · $158M to $170MMar 6, 2025 to Feb 25, 2026
- Individual RAUM · unset to 519647.0Mar 6, 2025 to Feb 25, 2026
- Pension RAUM · unset to 2712925.0Mar 6, 2025 to Feb 25, 2026
- RAUM · $159M to $174MMar 6, 2025 to Feb 25, 2026
- Accounts · 142 to 158Aug 8, 2024 to Mar 6, 2025
- HNW clients · 27 to 26Aug 8, 2024 to Mar 6, 2025
- Assets in custody · $7.7M to $15.3MAug 8, 2024 to Mar 6, 2025
- Employees · 2 to 3Aug 8, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 1-10Aug 8, 2024 to Mar 6, 2025
- Discretionary RAUM · $149M to $159MAug 8, 2024 to Mar 6, 2025
- HNW RAUM · $148M to $158MAug 8, 2024 to Mar 6, 2025
- RAUM · $149M to $159MAug 8, 2024 to Mar 6, 2025
- Accounts · 129 to 142Mar 7, 2023 to Mar 22, 2024
- HNW clients · 24 to 27Mar 7, 2023 to Mar 22, 2024
- Assets in custody · $2.4M to $7.7MMar 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $115M to $149MMar 7, 2023 to Mar 22, 2024
- HNW RAUM · $115M to $148MMar 7, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $1.0M to $0Mar 7, 2023 to Mar 22, 2024
- RAUM · $116M to $149MMar 7, 2023 to Mar 22, 2024
- Accounts · 115 to 129Sep 22, 2022 to Mar 7, 2023
- Charity clients · 1.0 to unsetSep 22, 2022 to Mar 7, 2023
- HNW clients · 23 to 24Sep 22, 2022 to Mar 7, 2023
- Assets in custody · $2.7M to $2.4MSep 22, 2022 to Mar 7, 2023
- Financial planning clients · 11-25 to 1-10Sep 22, 2022 to Mar 7, 2023
- Discretionary RAUM · $122M to $115MSep 22, 2022 to Mar 7, 2023
- HNW RAUM · $123M to $115MSep 22, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $1.3M to $1.0MSep 22, 2022 to Mar 7, 2023
- RAUM · $123M to $116MSep 22, 2022 to Mar 7, 2023
- Assets in custody · unset to 2650290.0Aug 3, 2022 to Sep 22, 2022
- Custody of client assets · false to trueAug 3, 2022 to Sep 22, 2022
- Accounts · 52 to 115Jun 3, 2021 to Jan 31, 2022
- HNW clients · 18 to 23Jun 3, 2021 to Jan 31, 2022
- Individual clients · 1.0 to unsetJun 3, 2021 to Jan 31, 2022
- Discretionary RAUM · $102M to $122MJun 3, 2021 to Jan 31, 2022
Signals
1 dated events
- R••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 22, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 307-200-9112reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rockhill-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 282-1040reportedpublic record, Form ADV, Feb 25, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026