Rockbridge Investment Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 251–500 clients last fiscal year.
Rockbridge Investment Management reports 1,587 clients. They include 1,202 individual clients, 316 high-net-worth individuals and 43 charitable organizations. Of its assets, 97.2% ($1.79B across 4,057 accounts) are managed with discretion; $50.8M across 76 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 76% | 18% |
| High-net-worth individuals | 20% | 56% |
| Pension and profit-sharing plans | <1% | 4% |
| Charitable organizations | 3% | 10% |
| Corporations and other businesses | 1% | 12% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,202 | $327M | 17.8% | $272K |
| High-net-worth individuals | 316 | $1.03B | 55.9% | $3.25M |
| Pension and profit-sharing plans | 7 | $79.3M | 4.3% | $11.3M |
| Charitable organizations | 43 | $181M | 9.8% | $4.2M |
| Corporations and other businesses | 19 | $223M | 12.1% | $11.7M |
| Total | 1,587 | $1.84B | 100% | $1.16M |
- Clients
- 1,202
- Regulatory AUM
- $327M
- AUM share
- 17.8%
- Avg. per client
- $272K
- Clients
- 316
- Regulatory AUM
- $1.03B
- AUM share
- 55.9%
- Avg. per client
- $3.25M
- Clients
- 7
- Regulatory AUM
- $79.3M
- AUM share
- 4.3%
- Avg. per client
- $11.3M
- Clients
- 43
- Regulatory AUM
- $181M
- AUM share
- 9.8%
- Avg. per client
- $4.2M
- Clients
- 19
- Regulatory AUM
- $223M
- AUM share
- 12.1%
- Avg. per client
- $11.7M
Total
- Clients
- 1,587
- Regulatory AUM
- $1.84B
- AUM share
- 100%
- Avg. per client
- $1.16M
- 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
- 251–500
Rockbridge Investment Management charges 0.45%–0.90% a year for its Individual Client Investment Management Fees. The fee is billed in arrears. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning and consulting are billed as a fixed project fee, quoted before engagement and typically $2,500 to $10,000, due on completion.
Patrick Rohe owns 25% to 50% of Rockbridge Investment Management. Patrick Rohe is CEO; the leadership team includes Chief Operating Officer Nicholas Stancato and Chief Compliance Officer David Krawczyk. It has 18 employees, 13 of them in advisory roles.
Staff
- 18 employees
- 13 in advisory functions
- 12 state-registered reps
- Owns 25% to 50% of Rockbridge Investment Management, LLC
Patrick Rohe
Control person · since January 2020
- Owns 25% to 50% of Rockbridge Investment Management, LLC
David Carroll
Control person · since January 2025
- Owns 10% to 25% of Rockbridge Investment Management, LLC
Anthony Farella
Control person · since January 2008
- Owns 5% to 10% of Rockbridge Investment Management, LLC
Craig Buckhout
Control person · since December 1997
- Owns 5% to 10% of Rockbridge Investment Management, LLC
Nicholas Stancato
Control person · since January 2020
Rockbridge Investment Management’s regulatory assets grew 1.8× from $1.03B (March 2021) to $1.84B (July 2026); clients were 1,587 in both filings and employees rose from 16 to 18. In 2021, Disciplined Capital Management ($391M in its last filing) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jul 2026July 2026 | $1.84B | 1,587 | 18 | 2 |
| Mar 2025March 2025 | $1.66B | 1,629 | 21 | 2 |
| Mar 2024March 2024 | $1.49B | 1,568 | 21 | 2 |
| Mar 2023March 2023 | $1.26B | 1,510 | 19 | 2 |
| Jun 2022June 2022 | $1.57B | 1,620 | 17 | 2 |
| Mar 2021March 2021 | $1.03B | 1,626 | 16 | 2 |
Firms that joined
20211 joined
- Disciplined Capital ManagementLast filed AUM $391M
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Rockbridge Investment Management has 1 office, with 2 listed addresses in 1 state.
New York · 2 listed addresses
- 220 South Warren Street, 9th Floor, SyracuseHQ
- 130 Albany Street, Cazenovia
Contact and registration details
- Legal name
- Rockbridge Investment Management, LLC
- Headquarters
- 220 South Warren Street, 9th Floor, Syracuse, NY 13202
- Website
- rockbridgeinvest.com
- Phone
- 315-671-0588
- SEC file
- 801-60639
- Structure
- New York LLC
- Fiscal year end
- December
Rockbridge Investment Management’s named custodian for separately managed accounts is Charles Schwab ($1.55B). Rockbridge Investment Management has custody of $23.1M for 20 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.55B100%
At year end, Rockbridge Investment Management’s separately managed accounts were largely in stocks (46%) and bonds (29%).
What the accounts hold
- Stocks46%
- Funds23%
- Bonds29%
- U.S. government and agency bonds22%
- Investment grade corporate bonds6%
- State and local bonds1%
- Cash2%
How many clients does Rockbridge Investment Management have?
Rockbridge Investment Management has 1,587 clients and manages $1.84 billion for them, as of July 2026. They include 1,202 individual clients, 316 high-net-worth individuals and 43 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 14 July 2026
What services does Rockbridge Investment Management offer?
Rockbridge Investment Management 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 Rockbridge Investment Management charge?
Rockbridge Investment Management charges 0.45%–0.90% a year for its Individual Client Investment Management Fees. The fee is billed in arrears.
Which custodians does Rockbridge Investment Management use?
Rockbridge Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.55B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 July 2026
How many financial advisors does Rockbridge Investment Management have?
Rockbridge Investment Management has 12 investment adviser representatives registered with state securities authorities, out of 18 employees, and 13 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 Rockbridge Investment Management invest in?
At the end of its last fiscal year, Rockbridge Investment Management’s separately managed accounts held 46% exchange-traded equities, 23% registered funds (mutual funds, ETFs, BDCs), 22% U.S. government and agency bonds, 6% investment grade corporate bonds, 2% cash and equivalents and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rockbridge Investment Management?
Rockbridge Investment Management’s direct owners are Craig Buckhout, Anthony Farella, Patrick Rohe, David Carroll and Nicholas Stancato, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 14 July 2026
How does Rockbridge Investment Management get paid?
Rockbridge Investment Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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
How do I contact Rockbridge Investment Management?
Rockbridge Investment Management’s main office is at 220 South Warren Street, 9th Floor, Syracuse, NY 13202. Its phone number is 315-671-0588. Its website is rockbridgeinvest.com.