Round Rock Advisors

What Round Rock Advisors does

Round Rock Advisors, LLC is an independent, fee-only Registered Investment Advisor founded in April 2017 by Bert T Bowler and headquartered in Wilton, Connecticut. The firm offers a unified wealth management platform anchored on three core services — Financial Planning, Investment Management, and Tax Planning — supplemented by add-on modules covering Estate Planning, Accumulation Goals, Cash-Flow Management, Retirement Planning, Risk Management, and a Corporate Advisory suite (Business Valuation, Private Company Transaction Advisory, Succession Planning). It serves HNW individuals, families, retirees, professionals, and business owners across the U.S. via in-person consultations at its Wilton office and a nationwide virtual advisory delivery model. The firm has grown through a 2021 merger with Wake Robin Financial Advisors (founded 1990 by Carol J Burton) and now operates with a team of approximately 13 professionals holding CFP®, CFA®, CPA/PFS, and CDFA®/ChSNC® credentials.

The firm's revenue model is asset-based subscription pricing: tiered fees on assets under management with the effective rate declining as portfolio size grows, plus optional flat planning fees for clients not yet managing investable assets. No commissions, referral fees, or proprietary product ties exist, consistent with its fiduciary positioning. Client assets are custodied at independent third parties — Charles Schwab and Fidelity — meaning Round Rock never holds client assets directly; the firm monetizes advisory relationships rather than balance sheet. GTM is consultative and advisor-led, supported by content marketing through 'The Round Rock Report' blog and newsletter, with complimentary initial consultations as the entry point.

Operationally, the firm is privately held by its partners, has no parent company, no institutional investors, no disclosed funding rounds, and no subsidiaries. Its integrations are limited to a YHL Soft client portal and Schwab/Fidelity custody feeds — standard RIA infrastructure with no proprietary technology or AI capabilities disclosed. The competitive positioning rests on fiduciary independence, credentialed senior advisors with multi-decade tenure at firms such as Ameriprise, Neuberger Berman, and Citigroup Asset Management, and an integrated personal-plus-corporate advisory offering for owner-operators facing liquidity or succession events.

Name

Round Rock Advisors

Legal name

Round Rock Advisors, LLC

Website

https://roundrockadvisors.com

Company type

Private

Founded year

2017

Operating status

Operating

Headcount range

1–10 employees

Short description

Round Rock Advisors is an independent, fee-only Registered Investment Advisor in Wilton, CT, serving high-net-worth individuals, families, and business owners nationwide through integrated financial planning, investment management, tax, estate, and corporate advisory services.

Ownership category

akta.pro rank

Product category

Wealth Management and Financial Advisory Services

NAICS

Portfolio Management and Investment Advice (523940), Management Consulting Services (54161)

SIC

Investment Advice (6282), Services-Management Consulting Services (8742)

akta.pro primary industry

Fee-Only Advisory (FSAEAAAL)

akta.pro secondary industries

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD), Hybrid Advice (Advisor + Digital) Platforms (FSAAAAAE)

Keywords

• Wealth management services
• Financial planning advisory
• Investment management RIA
• Retirement planning services
• Estate planning advisory

Headquarters

HQ city

Wilton

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Assets Under Management (AUM) Fees: Fees are typically based on assets under management (AUM) and are tiered, meaning effective rate decreases as portfolio grows. This model aligns firm success with client success.
2. Flat Planning Fees: For clients seeking financial planning only, the firm offers flat planning fees. This provides an option for clients earlier in their wealth journey who may not yet have investment portfolios.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels3 records

Core offering

Round Rock Advisors is an independent, fee-only Registered Investment Advisor that provides personalized financial planning, investment management, tax planning, and estate planning services for individuals, families, and business owners. The firm also offers corporate advisory services including succession planning, business valuation, and M&A/exit planning. Operations are based in Wilton, Connecticut, with services delivered nationally via in-person and virtual consultations.

Product overview

Round Rock Advisors is an independent, fee-only Registered Investment Advisor (RIA) offering a unified suite of wealth management services centered on personalized financial planning. The core offering consists of Financial Planning, Investment Management, and Tax Planning as primary services, supplemented by specialized modules including Estate Planning, Accumulation Goals, Cash-Flow Management, Retirement Planning, Risk Management, and Corporate Advisory services. Corporate Advisory encompasses Succession Planning, Business Valuation and Enhancement, and Private Company Transaction Advisory. The firm operates on a fiduciary basis from Wilton, Connecticut, serving clients nationwide through both in-person and virtual meetings.

Differentiator

Problem solved

Functional benefit

Products and services

• Financial Planning

Quantifiable outcome

• Multi-generational wealth creation through personalized financial planning

Named customers1 record

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration3 records

Partnerships

One partnership is on record.

• Vetted Legal, Accounting, Insurance, and Estate Planning PartnerssupportingStrategic or Co-development PartnerRound Rock provides clients access to vetted experts in asset management, tax, accounting, insurance, private company advisory, and estate planning to enhance the solutions provided to clients.

Scale indicators2 records

Recent moves7 records

Expansion highlights5 records

Broad incumbents

• Creative Planning: One of the largest independent fee-only RIAs in the U.S. with $300B+ AUM. Highly comparable business model (fee-only fiduciary, comprehensive financial planning, investment management, tax, estate) but operates at materially greater scale and offers institutional services.
• Carson Group: Large RIA and advisor support platform providing wealth management, coaching, and technology to affiliated advisors. Overlapping in core financial planning and investment management services, but operates a partnership/consolidator model rather than a single firm.
• Wealth Enhancement Group: National independent wealth management firm built largely through advisor M&A, comparable to Round Rock's tuck-in strategy. Offers similar fee-based financial planning and investment services but at much larger AUM scale.
• Edelman Financial Engines: Large national independent RIA combining advisor-led planning with proprietary digital advice. Comparable fee-based financial planning and investment management offering, but at significantly greater scale and technology investment.
• Cerity Partners: Large fee-only wealth management and corporate advisory firm serving UHNW families and institutions. Overlaps with Round Rock on corporate advisory (M&A, transaction advisory, business valuation) and integrated financial planning for business owners.

Direct peers

• Buckingham Strategic Wealth: National fee-only RIA with similar size and service mix including financial planning, investment management, tax, and estate services. Closely mirrors Round Rock's fee-only fiduciary positioning and HNW client focus, making it a strong size-and-model comparable.
• Moneta Group: Fee-only RIA serving HNW individuals and business owners with integrated financial planning, investment management, tax, and corporate advisory. Very close model and client-segment match to Round Rock, including M&A and exit advisory for business owners.
• Plante Moran Financial Advisors: Fee-only RIA affiliated with Plante Moran, serving HNW families and business owners with planning, investment, tax, and exit planning. Comparable client mix (especially business-owner advisory) and integrated service model.

Emerging players

• Facet Wealth: Tech-enabled fee-only RIA serving HNW clients nationally through virtual CFP®-led advice. Comparable fee-only fiduciary positioning and virtual delivery, but competes with a digital-first model at lower price points.

Regional players

• Barnum Financial Group: Northeast-based wealth management firm offering financial planning, investment, and retirement services. Comparable HNW focus and fiduciary-adjacent positioning, but operates through a hybrid (commission/fee) model rather than pure fee-only.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles12 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Round Rock Advisors