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OLD ROCK ASSET MANAGEMENT LLC

A72
CRD 145748·SEC 801-81148
AUM
$191.6M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$575K
@ 30% margin
Est. Deal Value
$4.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OLD ROCK ASSET MANAGEMENT LLC
CRD
145748
SEC file #
801-81148
EIN
—
DBA names
—

Economics

AUM
$191.6M
AUM band
$100M-$500M
AUM trajectory
'20'26
$154.0M → $191.6M▲ +24%
Client mix
Individuals High Net Worth8
Insurance Companies1

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
01/14/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RUSSELL, JOHN, WYNKOOP
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
RUSSELL, JOHN, WYNKOOP
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Fidelity2
Firm Has Custody
No
Top Owner CRD
1886614
Trust Company Affiliate
No

People (1)

1
JOHN WYNKOOP RUSSELL
Direct Owner · 87.5%
1886614