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Rockview Management, LLC (Stamford)


Rockview Management, LLC is a large advisory firm based in Stamford. It manages $126.4 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Connecticut.

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Rockview Management provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockview Management: assets under management

The assets under management (AUM) of Rockview Management, LLC is $126.4 million. The firm's AUM has gone down by -13% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $112.9 million in discretionary accounts and $13.5 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $18.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $13.5 million.
Rockview Management has custody of $32.3 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockview Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Kevin Scott Schweitzer Managing member 1 May 2004 75% - 100% 2712964

Based in Stamford

The principal office where Rockview Management, LLC performs its advisory services is located at 4 Stamford Plaza 107 Elm Street, Stamford, CT 06902, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-388-4900 or by fax 203-388-4999. The normal business hours are 8:30-5:30 on Monday - Friday. You can find more information about the New York firm at rvcap.com.


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