Rock Point Advisors provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 51–100 clients last fiscal year.
Rock Point Advisors reports 243 clients. They include 150 high-net-worth individuals, 82 individual clients, and 6 corporations and other businesses. Of its assets, 100.0% ($656M across 493 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $10.3M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 34% | 7% |
| High-net-worth individuals | 62% | 86% |
| Charitable organizations | 2% | 2% |
| Corporations and other businesses | 2% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 82 | $43M | 6.6% | $524K |
| High-net-worth individuals | 150 | $564M | 86.1% | $3.76M |
| Charitable organizations | 5 | $9.87M | 1.5% | $1.97M |
| Corporations and other businesses | 6 | $38.4M | 5.9% | $6.4M |
| Total | 243 | $656M | 100% | $2.7M |
- Clients
- 82
- Regulatory AUM
- $43M
- AUM share
- 6.6%
- Avg. per client
- $524K
- Clients
- 150
- Regulatory AUM
- $564M
- AUM share
- 86.1%
- Avg. per client
- $3.76M
- Clients
- 5
- Regulatory AUM
- $9.87M
- AUM share
- 1.5%
- Avg. per client
- $1.97M
- Clients
- 6
- Regulatory AUM
- $38.4M
- AUM share
- 5.9%
- Avg. per client
- $6.4M
Total
- Clients
- 243
- Regulatory AUM
- $656M
- AUM share
- 100%
- Avg. per client
- $2.7M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Rock Point Advisors charges 0.50%–1.20% a year for its Fee Schedule for Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.20% |
| $500K–$1M | 0.70% |
| $1M and above | 0.50% |
Fee details and sources
Michael Huffman owns 50% to 75% of Rock Point Advisors. The leadership team of Rock Point Advisors includes President Michael Huffman. It has 9 employees, 5 of them in advisory roles.
Leadership
Michael HuffmanPresident
Todd WulfsonVice President, CCO
Timothy HumphreyWealth Manager
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 9 employees
- 5 in advisory functions
- 4 state-registered reps
- Owns 50% to 75% of Rock Point Advisors, LLC
Michael Huffman
Control person · since March 2004
- Owns 25% to 50% of Rock Point Advisors, LLC
Todd Wulfson
Control person · since May 2004
- Owns 10% to 25% of Rock Point Advisors, LLC
Timothy Humphrey
Control person · since December 2019
Rock Point Advisors’ regulatory assets grew from $447M (March 2021) to $656M (March 2026); clients rose from 230 to 243 and employees fell from 10 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $656M | 243 | 9 | 1 |
| March 2025 | $560M | 244 | 9 | 1 |
| March 2024 | $527M | 243 | 9 | 1 |
| April 2023 | $460M | 248 | 9 | 1 |
| April 2022 | $554M | 231 | 9 | 1 |
| March 2021 | $447M | 230 | 10 | 1 |
Besides its headquarters, Rock Point Advisors has 0 offices, with 1 listed address in Vermont.
Vermont · 1 listed address
- 77 College Street, 4th Floor, BurlingtonHQ
Contact and registration details
- Legal name
- Rock Point Advisors, LLC
- Headquarters
- 77 College Street, 4th Floor, Burlington, VT 05401-4014
- Website
- rockpointadvisors.com
- Phone
- 802-864-2266
- SEC file
- 801-62923
- Founded
- 2004
- Structure
- Vermont LLC
- Fiscal year end
- December
Rock Point Advisors uses Charles Schwab ($556M, 88%) and Fidelity ($75.9M, 12%) as custodians for its separately managed accounts. Rock Point Advisors has custody of $397M in client assets for 199 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $556M88%
- FidelityFidelity Distributors Company LLC · Smithfield, RI · $75.9M12%
At year end, Rock Point Advisors’ separately managed accounts were mostly in stocks (70%) and bonds (12%). Its reported 13F holdings for the quarter ended 30 June 2026 total $409M across 123 positions; the largest are Citigroup (4.9%), Apple Computer (3.8%) and Cisco Systems (3.6%).
What the accounts hold
- Stocks70%
- Funds6%
- Bonds12%
- State and local bonds6%
- U.S. government and agency bonds5%
- Investment grade corporate bonds1%
- Cash12%
Reported 13F holdings
- $409M
- Reported 13F value
- 123
- Positions
- 33.0%
- In the 10 largest
- +10.6%
- Value vs. prior quarter
- Citigroup4.9%
- Apple Computer3.8%
- Cisco Systems3.6%
- Google · Cap Stk CL A3.5%
- TJX Companies3.4%
- Broadcom Ltd3.0%
- AES2.9%
- Sony Group · Sponsored ADR2.8%
- Aptiv PLC2.7%
- Nextera Energy2.6%
Together, the ten largest are 33.0% of reported value.
How many clients does Rock Point Advisors have?
Rock Point Advisors has 243 clients and manages $656 million for them, as of March 2026. They include 150 high-net-worth individuals, 82 individual clients, and 6 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026
What services does Rock Point Advisors offer?
Rock Point Advisors provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Rock Point Advisors charge?
Rock Point Advisors charges 0.50%–1.20% a year for its Fee Schedule for Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance.
Source: ROCK POINT ADVISORS, LLC BROCHURE ADV PART 2A AND 2B, filed 24 March 2026
Which custodians does Rock Point Advisors use?
Rock Point Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $556M and Fidelity Distributors Company LLC (Smithfield, RI), with $75.9M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026
How many financial advisors does Rock Point Advisors have?
Rock Point Advisors has 4 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Rock Point Advisors invest in?
At the end of its last fiscal year, Rock Point Advisors’ separately managed accounts held 70% exchange-traded equities, 12% cash and equivalents, 6% state and local bonds, 6% registered funds (mutual funds, ETFs, BDCs), 5% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rock Point Advisors?
Rock Point Advisors’ direct owners are Michael Huffman (50% to 75%), Todd Wulfson (25% to 50%) and Timothy Humphrey (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 24 March 2026
How does Rock Point Advisors get paid?
Rock Point Advisors is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Rock Point Advisors registered with the SEC?
Yes, Rock Point Advisors has been registered with the SEC as an investment adviser since 30 April 2004. Its CRD number is 130825 and its SEC file number is 801-62923.
Source: Form ADV Part 1A, Item 1, filed 24 March 2026; IAPD firm record
How do I contact Rock Point Advisors?
Rock Point Advisors’ main office is at 77 College Street, 4th Floor, Burlington, VT 05401-4014. Its phone number is 802-864-2266. Its website is rockpointadvisors.com.