Rockwater Municipal Advisors, LLC (Irvine)


Rockwater Municipal Advisors, LLC is a related adviser based in Irvine. It manages $300.2 thousand of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2007.

Rockwater Municipal Advisors provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockwater Municipal Advisors: assets under management

The assets under management (AUM) of Rockwater Municipal Advisors, LLC is $300.2 thousand, all of which is managed in discretionary accounts. The firm's AUM has gone down by -99% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $300.2 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $300.2 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockwater Municipal Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rockwater Municipal Advisors, LLC

Charles Willard Fish has served as the Chief Investment Officer since 1 Dec 2007. Bryan Robert Williams joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Bryan Robert Williams Managing member/chief compliance officer 1 Mar 2005 75% - 100% 1040974
Donna Farchione Williams Vp operations 1 Mar 2005 Other 5095086
John Edward Hapke Chief financial officer 1 May 2006 Other 2288882
Inc. Charles Fish Investments Owner of class b membership units 1 Dec 2007 Other 33-0069759
Charles Willard Fish Chief investment officer 1 Dec 2007 Other 1010653
Betsy Campbell Shelton Chief compliance officer 1 Feb 2008 Other 700558
Bryan Robert Williams Chief compliance officer 1 Apr 2009 75% - 100% 1040974

Based in Irvine

The principal office where Rockwater Municipal Advisors, LLC performs its advisory services is located at 17744 Sky Park Circle, Irvine, CA 92614, 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 949-387-4000 or by fax 949-296-3974. The normal business hours are 7:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.rhedge.net.