{"url":"https://nivawealth.com/firms/rockbridge-investment-management-115754","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115754","regulatoryAum":1837441861,"crd":"115754","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6403263","suffix":null,"lastName":"ARIGLIO","firstName":"CLAIRE","middleName":"ELIZABETH"},{"crd":"4363051","suffix":null,"lastName":"BUCKHOUT","firstName":"CRAIG","middleName":"ALLEN"},{"crd":"6034191","suffix":null,"lastName":"CARROLL","firstName":"DAVID","middleName":"MATTHEW"},{"crd":"7371344","suffix":null,"lastName":"DeBottis","firstName":"Zachary","middleName":"Dillon"},{"crd":"5511685","suffix":null,"lastName":"FARELLA","firstName":"ANTHONY","middleName":"ROBERT"},{"crd":"5841585","suffix":null,"lastName":"GAGAS","firstName":"ADAM","middleName":"CHRIS"},{"crd":"6029238","suffix":null,"lastName":"Krawczyk","firstName":"David","middleName":null},{"crd":"5556468","suffix":null,"lastName":"ROHE","firstName":"PATRICK","middleName":"EUGENE"},{"crd":"4363043","suffix":null,"lastName":"RYAN","firstName":"ROBERT","middleName":"JOHN"},{"crd":"7243320","suffix":null,"lastName":"Stancato","firstName":"Nicholas","middleName":"Anthony"},{"crd":"6975948","suffix":null,"lastName":"UNDERWOOD","firstName":"ADAM","middleName":null}],"total":11,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":1030999133,"clients":1626,"employees":16,"offices":2},{"filedOn":"2022-06-30","regulatoryAum":1571201224,"clients":1620,"employees":17,"offices":2},{"filedOn":"2023-03-29","regulatoryAum":1262908782,"clients":1510,"employees":19,"offices":2},{"filedOn":"2024-03-28","regulatoryAum":1485188276,"clients":1568,"employees":21,"offices":2},{"filedOn":"2025-03-27","regulatoryAum":1660732364,"clients":1629,"employees":21,"offices":2},{"filedOn":"2026-07-14","regulatoryAum":1837441861,"clients":1587,"employees":18,"offices":2}],"acquisitions":[{"date":"2021-12-31","datePrecision":"day","name":"Disciplined 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PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029808","versionId":1029808,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":1548750114}],"custodyNote":"Rockbridge Investment Management has custody of $23.1M in client assets for 20 clients.","otherCustodians":[],"leadership":[{"name":"Patrick Rohe","title":"Chief Executive Officer","crd":"5556468"},{"name":"Nicholas Stancato","title":"Chief Operating Officer","crd":"7243320"},{"name":"David Krawczyk","title":"Chief Compliance Officer","crd":"6029238"},{"name":"Craig Buckhout","title":"Manager","crd":"4363051"},{"name":"Anthony Farella","title":"Manager","crd":"5511685"},{"name":"David Carroll","title":"Manager","crd":"6034191"}],"ownership":[{"label":"Craig Buckhout","detail":"Manager in the 5% to 10% ownership band and a control person, since December 1997."},{"label":"Anthony Farella","detail":"Manager in the 10% to 25% ownership band and a control person, since January 2008."},{"label":"Patrick Rohe","detail":"Chief executive officer in the 25% to 50% ownership band and a control person, since January 2020."},{"label":"David Carroll","detail":"Manager in the 25% to 50% ownership band and a control person, since January 2025."},{"label":"Nicholas Stancato","detail":"Chief operating officer in the 5% to 10% ownership band and a control person, since January 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"220 South Warren Street, 9th Floor","city":"Syracuse","headquarters":true},{"street":"130 Albany Street","city":"Cazenovia"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"315-671-0588","stateRegisteredReps":12,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":46},{"label":"U.S. government/agency bonds","percent":22},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":23},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"14 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115754/PDF/115754.pdf","brochureDate":"27 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rockbridge Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Rockbridge Investment Management charge?","answer":"Rockbridge Investment Management charges 0.45%–0.90% a year for its Individual Client Investment Management Fees. The fee is billed in arrears.","source":"ROCKBRIDGE PART 2A BROCHURE, filed 27 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rockbridge Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rockbridge Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rockbridge Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rockbridge Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rockbridge Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Rockbridge Investment Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 14 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}