Rockwell Global Advisors, LLC (Melville)

Rockwell Global Advisors, LLC is a mid-sized advisory firm based in Melville. It manages $28.8 million of regulatory assets for 60 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Colorado, Florida, New Jersey, and New York.

Rockwell Global Advisors provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockwell Global Advisors: assets under management

The assets under management (AUM) of Rockwell Global Advisors, LLC is $28.8 million. The company doesn't manage any assets belonging to foreign clients.

The firm manages $11.5 million in discretionary accounts and $17.3 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $884.62 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $368.09 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockwell Global Advisors, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rockwell Global Advisors, LLC

Bruce Jude Guarino has been acting as President since 1 Jul 2007. Christopher P Ferrara joined the executive team most recently as the Managing Member/Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher P Ferrara	Managing member/chief compliance officer	1 May 2007	Other	4036895
Bruce Jude Guarino	President/managing member/	1 Jul 2007	75% - 100%	1096719

Based in Melville

The principal office where Rockwell Global Advisors, LLC performs its advisory services is located at 125 Baylis Road, Melville, NY 11747, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.