{"url":"https://nivawealth.com/firms/rockwood-capital-156663","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/156663","regulatoryAum":10608321132,"crd":"156663","secFileNumber":"801-73731","legalName":"Rockwood Capital, LLC","displayName":"Rockwood Capital","website":null,"linkedinUrl":"https://www.linkedin.com/company/43052","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"140 East 45th Street, 34th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10017"},"tradeNames":["RC Advisory, LLC (relying Advisor)"],"registration":{"secApproved":"30 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":65,"advisory":65,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":6478157538,"discretionaryAccounts":24,"nonDiscretionary":4130163594,"nonDiscretionaryAccounts":12,"wrapProgram":null,"nonUsClientsPct":6,"nonAumClients":2},"clientTypes":[{"label":"Pooled investment vehicles","clients":36,"regulatoryAum":10608321132}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Rockwood Capital has custody of $486.3M for 36 clients.","otherCustodians":[],"leadership":[{"name":"Marti Breier","title":"Partner, General Counsel, Chief Compliance Officer","crd":"7529249"},{"name":"David Becker","title":"Management Designee / Partner, Cso","crd":"6028788"},{"name":"Jaclyn Chou","title":"Partner, Financial Operations","crd":"6927236"},{"name":"Matthew Hawkins","title":"Colliers Designee","crd":"8184892"},{"name":"Jay Hennick","title":"Colliers Designee","crd":"7587762"},{"name":"Christopher Merrill","title":"Colliers Designee","crd":"4555201"},{"name":"Tyson Skillings","title":"Management Designee / Partner, Cso","crd":"6317812"}],"ownership":[{"label":"Colliers RW Holdings LLC","detail":"Member in the 75% or more ownership band and a control person, since July 2022."},{"label":"Colliers International Group Inc","detail":"Indirect owner: a shareholder of Harrison Street Asset Management Ulc in the 75% or more band and a control person, since March 2022.","parent":"Harrison Street Asset Management Ulc"},{"label":"Colliers Investment Management Holdings, Inc","detail":"Indirect owner: a indirect owner of Colliers RW Holdings LLC in the 75% or more band and a control person, since October 2025.","parent":"Colliers RW Holdings LLC"},{"label":"Harrison Street Asset Management Ulc","detail":"Indirect owner: a indirect owner of Colliers Investment Management Holdings, Inc in the 75% or more band and a control person, since October 2025.","parent":"Colliers Investment Management Holdings, Inc"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"1999 Avenue of the Stars","city":"Los Angeles"},{"street":"Two Embarcadero Center","city":"San Francisco"}]},{"state":"New York","offices":1,"addresses":[{"street":"140 East 45th Street, 34th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-402-8500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":35},"sources":{"adv1FilingDate":"30 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/156663/PDF/156663.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rockwood Capital have?","answer":"Rockwood Capital has 36 clients and manages $10.6 billion for them, as of June 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rockwood Capital offer?","answer":"Rockwood Capital provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Rockwood Capital have?","answer":"Rockwood Capital has 0 investment adviser representatives registered with state securities authorities, out of 65 employees, and 65 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":"Who owns Rockwood Capital?","answer":"Rockwood Capital is owned through a chain of holding companies by Colliers International Group Inc. Its direct owner is Colliers RW Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rockwood Capital get paid?","answer":"Rockwood Capital is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions 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"}}],"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 Wealth 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."}