ROCATON INVESTMENT ADVISORS
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ROCATON INVESTMENT ADVISORS
(CRD# 120451)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Norwalk, CT.
The SEC approved the firm to operate as an RIA in
May 2002.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$11.6 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
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ROCATON INVESTMENT ADVISORS
also reported in
Mar 2019
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65
employees,
with
53
performing advisory functions.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ROCATON INVESTMENT ADVISORS has no disclosure events reported to the SEC at this time.
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ROCATON INVESTMENT ADVISORS has Notice Filings with the following State Securities Authorities:
CT-May 2002, NH-Jan 2018, NY-Mar 2009
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