SEC-registered independent wealth management RIA
Rock Harbor Partners LLC
As of its Form ADV filed March 27, 2026, Rock Harbor Partners LLC, an SEC-registered independent wealth management RIA in Larchmont, New York, reported $2.7 billion in regulatory assets under management across 129 accounts, ranking #34 among independent RIAs in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 322545
- SEC file number
- 801-127611
- Registered since
- April 7, 2023
- Latest Form ADV filing
- March 27, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $2.7 billion
- Discretionary
- $95.3 million (3.6%)
- Non-discretionary
- $2.6 billion
- Accounts
- 129 (3 discretionary)
- Clients
- 64, approximate as reported
- Employees
- 4
- Advisory staff
- 4 performing investment advisory functions
- Average account
- $20.7 million
- Asset growth, 1 year
- 14.6% (from $2.3 billion a year earlier)
- Asset growth, 3-year annual rate
- 8.3% (from $2.1 billion three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 3.2% (from 62)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In New York | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #442 | #34 | $2.7 billion |
| Fastest-growing independent RIAs over one year | #3,834 | #196 | 14.6%from $2.3 billion |
| Fastest-growing independent RIAs over three years | #4,551 | #241 | 8.3%from $2.1 billion |
| Independent RIAs with the biggest asset gains over one year | #614 | #42 | $338.8 million |
| Independent RIAs with the most clients | #10,981 | #574 | 64 |
| Independent RIAs with the most accounts | #10,291 | #514 | 129 |
| Independent RIAs with the most advisory staff | #3,365 | #208 | 4 |
| Independent RIAs with the most high net worth clients | #4,785 | #266 | 62 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 5, 2023 | $2.1 billion |
| October 1, 2024 | $2.1 billion |
| September 2, 2025 | $2.3 billion |
| October 2, 2026 | $2.7 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 62 clients | $2.6 billion | |
| Pooled investment vehicles 1 client | $66.6 million | |
| Charitable organizations fewer than 5 clients | $47.5 million | |
| Other investment advisers fewer than 5 clients | $0 |
How the firm is paid
- Fixed fees
- Performance-based fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 0
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 0
IAR registrations by jurisdiction are not available for this firm. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Cordoba Advisory Partners LLC | New York | $2.8 billion |
| Strategic Financial Services | Utica | $2.8 billion |
| The Portfolio Strategy Group, LLC | White Plains | $2.6 billion |
| Bridgewater Advisors Inc. | New York | $2.6 billion |
| LVW Advisors, LLC | Pittsford | $2.5 billion |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Rock Harbor Partners LLC on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.