RF
Rothrock Financial
State-registered
Multi-Family Office · Boutique (under $100M)
CRD 335275
· Fairport, NY
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ADV data as of Jan 07, 2026
- Regulatory AUM
- $10.0M
- Discretionary
- $0
- Clients
- 1
- Avg AUM / client
- $10.0M
- Accounts
- 1
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1 | $10.0M | 100.0% |
| High net worth individuals | Fewer than 5 clients | — | — |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | Fewer than 5 clients | — | — |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | Fewer than 5 clients | — | — |
| Other | 0 | — | — |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| William David Rothrock | Registered representative | Mar 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) | 01/07/2026 | 983 KB | 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
Services
- • Other services
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 07, 2026.
View current Form ADV (SEC/IAPD) ↗