Wealth manager, independent · Larchmont, NY
Rock Harbor Partners LLC
SEC-registered investment adviser · CRD 322545 · SEC 801-127611
At a glance
Rock Harbor Partners LLC is an SEC-registered investment adviser based in Larchmont, New York, with $2.7B in regulatory assets under management as of its Form ADV filed March 27, 2026. It reports 62 individual clients, 62 of them high-net-worth, holding an average of about $41 million each, and 4 employees. That ranks it 418th among the nation’s 5,657 independent wealth management RIAs and 32nd of 408 in New York. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 914-215-5873As filed on Form ADV
- Regulatory AUM
- $2.7B
- Rank among independent wealth managers
- #418 of 5,657
- Rank among all SEC RIAs
- #3,052 of 17,210
- Rank in New York
- #32 of 408
- Individual clients
- 62
- High-net-worth clients
- 62
- Accounts
- 129
- Discretionary
- 4% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Eric S. ArnoldChief Executive Officer, Chief Investment Officer, Member, Manager
- Alexander W. SchillaciDirector of Operations & Chief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Rock Harbor Partners LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 62 | $2.6B | 96% |
| Pooled investment vehicles | 1 | $67M | 3% |
| Charitable organizations | – | $48M | 2% |
Disciplinary disclosures
Rock Harbor Partners LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
How it’s paid
- Fixed fees
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗
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The full record on Rock Harbor Partners LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 1,521 peers of its type and size
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- Owners and executives, with titles and stakes
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- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Capital Counsel LLCNew York | $2.9B | 214 |
| Cordoba Advisory Partners LLCNew York | $2.8B | 57 |
| Strategic Financial ServicesUtica | $2.8B | 1,216 |
| The Portfolio Strategy Group, LLCWhite Plains | $2.6B | 405 |
| Bridgewater Advisors Inc.New York | $2.6B | 589 |
| LVW Advisors, LLCPittsford | $2.5B | 493 |
Background
Questions
How much does Rock Harbor Partners LLC manage?
Rock Harbor Partners LLC reports $2.7B in regulatory assets under management across 129 accounts, 4% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
How many clients does Rock Harbor Partners LLC have?
It reports 62 individual clients: 62 high-net-worth individuals and 0 other individuals. Individuals account for about 96% of its regulatory assets.
Where is Rock Harbor Partners LLC headquartered?
Its main office is in Larchmont, New York. It reports 1 office in total and 4 employees, 4 of whom perform investment advisory functions.
How does Rock Harbor Partners LLC charge clients?
On Form ADV it lists these forms of compensation: fixed fees; performance-based fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Rock Harbor Partners LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 27, 2026, it reports these amounts held: Charles Schwab ($330M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Rock Harbor Partners LLC a hybrid RIA with a broker-dealer?
Rock Harbor Partners LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Rock Harbor Partners LLC a fiduciary?
As an SEC-registered investment adviser, Rock Harbor Partners LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Rock Harbor Partners LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →