Rockland Capital, LLC (The Woodlands)

Name: Rockland Capital, LLC
Address: 24 Waterway Ave, The Woodlands, TX, 77380
Telephone: 281-863-9000

Rockland Capital, LLC is a large advisory firm based in The Woodlands. It manages $908.25 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Texas.

Rockland Capital provides 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.

Rockland Capital: assets under management

The assets under management (AUM) of Rockland Capital, LLC is $908.25 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 127% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $908.25 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $302.75 million each.

Rockland Capital has custody of $31.33 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockland Capital, 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.

What kind of clients Rockland Capital serves?

The only and largest group of clients of Rockland Capital is pooled investment vehicles with 3 clients and $908.25 million of assets under management. Among the 12 most similar advisory firms, Rockland Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $908.25 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Rockland Capital also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $10,000,000 for each fund.

Careers at Rockland Capital, LLC

The company employs 31 people that are either part- or full-time employees. 19 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Scott Harlan	Executive officer	1 Mar 2008	Other	5925441
Shane Ray Litts	Executive officer	1 Mar 2008	Other	2668994
James Maiz	Executive officer	1 Mar 2008	Other	5925445
Willie Zapalac	Member	1 Mar 2008	Other	5926980
Michael John Delgiudice	Executive officer	1 Mar 2008	Other	1367245
Joseph T Lambert	Executive officer	1 Mar 2008	Other	5926694
Llc Weichert Enterprise Ii	Member	1 Mar 2008	25% - 50%	20-4815303
David Yeager	Executive officer	1 Mar 2008	Other	2570736
Terry Elizabeth Everett	Chief financial officer & chief compliance officer	1 Nov 2010	Other	5925440

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
James M. Weichert	Member	1 Mar 2003	75% - 100%	xxx-xx-xxxx

Based in The Woodlands

The principal office where Rockland Capital, LLC performs its advisory services is located at 24 Waterway Ave, The Woodlands, TX 77380, 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 281-863-9000 or by fax 281-298-8733. The normal business hours are 8:00 am - 6:00 pm on Monday - Friday. You can find more information about the New York firm at rocklandcapital.com.