Rockfleet Financial Services, Inc.
State-registered
Broker-Dealer (Dually Registered) · Boutique (under $100M)
CRD 149325
· Sarasota, FL
· www.twitter.com
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ADV data as of Jan 20, 2026
- Regulatory AUM
- $956K
- Discretionary
- $0
- Clients
- 1
- Avg AUM / client
- $956K
- Accounts
- 1
- Employees
- 10
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Corporations and other businesses | 1 | $956K | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Catherine Mary Corrigan | Registered representative | Feb 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/20/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 20, 2026.
View current Form ADV (SEC/IAPD) ↗