Round Rock Advisors Llc
- Regulatory AUM
- $907M
- Discretionary
- $907M
- Clients
- 647
- Avg AUM / client
- $1.4M
- Accounts
- 1,935
- Employees
- 22
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 420 | $134M | 14.8% |
| High net worth individuals | 202 | $595M | 65.7% |
| Pooled investment vehicles (non-investment companies) | 1 | $72.1M | 7.95% |
| Pension and profit sharing plans | Fewer than 5 clients | $22.6M | 2.49% |
| Charitable organizations | 5 | $5.9M | 0.65% |
| Corporations and other businesses | 8 | $22.1M | 2.44% |
| Other | 11 | $54.8M | 6.04% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bert Thomas Bowler | Managing Member, Principal, And Private Wealth Advisor | CFP | Apr 2017 (9y) | 50% – 75% |
| Craig Dan Jensen | Member, Cco And Private Wealth Advisor | Jan 2020 (7y) | 50% – 75% | |
| John Robert Planell | Registered representative | CFP | Apr 2017 (9y) | |
| Scott Leonard Dynan | Registered representative | Sep 2020 (6y) | ||
| Robert Alan Weinstein | Registered representative | CFP Personal Financial Specialist | Feb 2022 (4y) | |
| Lynda Kommel Browne | Registered representative | CFA | May 2022 (4y) | |
| Jeffrey Mitchell Shaw | Registered representative | Sep 2023 (3y) | ||
| Elaine Votier Biersack | Registered representative | May 2024 (2y) | ||
| Allison Costas | Registered representative | Jul 2025 (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) | 06/22/2026 | 1.02 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $655M (72% of AUM) Jun 2026
- Fidelity Brokerage Services $259M (32% of AUM) Feb 2026
- UBS $75.1M (11% of AUM) Feb 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 22, 2026.
View current Form ADV (SEC/IAPD) ↗