Round Rock Advisors LLC

Registered adviser

CIK

1846991

Location

WILTON, CT

Portfolio Value

Small $776,487,384

Diversification

Diversified

Filing Date

Global Rank

#2,956 / 8,818 ▲ 82

Top Industry

Consumer Electronics 6.8%

Period ended 4 months ago

Filed Aug 12, 2026 · 3mo

23 quarters · since Dec 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 286007

Roster of Oct 1, 2026

Regulatory AUM

$906,658,173

Main clients

Individuals and high net worth (80% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$906,658,173	Individuals and high net worth (80%)
Apr 2025 to Mar 2026	$814,558,622	Individuals and high net worth (91%)
Apr 2024 to Mar 2025	$673,293,156	Individuals and high net worth (95%)
May 2023 to Mar 2024	$484,811,266	Individuals and high net worth (99%)
Apr 2023	$484,811,266	Individuals and high net worth (99%)
Dec 2022 to Mar 2023	$488,070,976	Individuals and high net worth (99%)

4 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 58.0%, 23.4 effective positions, active share 72.0% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

27.8% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 16.7 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 72.0%; sector active share 49.0% against the combined 13F book's sector weights.

Over time 23 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

318 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

10.4%

−0.5 pts

Top 5

39.5%

−0.6 pts

Top 10

58.0%

+0.1 pts

HHI

428

Diversified−1

Portfolio Trend

23 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	61.9%	$480,396,159	95
Technology	10.8%	$83,557,388	42
Financial Services	6.6%	$51,246,511	31
Industrials	4.9%	$37,957,569	46
Healthcare	4.5%	$35,114,971	34
Communication Services	3.0%	$23,673,764	12
Consumer Cyclical	3.0%	$23,482,546	21
Energy	2.7%	$20,669,848	16
Basic Materials	1.4%	$10,560,863	9
Consumer Defensive	0.9%	$6,785,988	7
Real Estate	0.2%	$1,667,590	3
Utilities	0.2%	$1,374,187	2

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
VO	VANGUARD MID-CAP INDEX FUND	+300,544	396,501	$31,946,085
ARQ	Arq, Inc.	+188,271	378,979	$966,396
TMS	Teamshares Inc	+140,531	277,236	$2,278,879
CERS	Cerus Corp	+90,996	355,962	$1,039,409
HZO	Marinemax Inc	+57,521	120,030	$4,395,498
FTK	Flotek Industries Inc	+54,620	81,471	$1,916,197
JPST	JPMorgan Ultra-Short Income ETF	+47,631	953,692	$48,228,204
SDSI	American Century Short Duration Strategic Income ETF	+36,516	324,038	$16,639,351
EVLV	Evolv Technologies Holdings, Inc.	+28,245	99,236	$575,568
OCC	Optical Cable Corp	+27,665	58,937	$1,235,908
WYFI	WhiteFiber, Inc.	+26,981	45,386	$1,763,246
SHLS	Shoals Technologies Group, Inc.	+22,971	185,927	$1,840,677
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	+17,031	19,470	$2,327,054
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	+11,988	324,884	$51,341,418
LPTH	Lightpath Technologies Inc	+11,452	30,691	$501,797
PCT	PureCycle Technologies, Inc.	+10,000	20,000	$162,200
JOUT	Johnson Outdoors Inc	+9,453	21,438	$987,005
NBSD	Neuberger Short Duration Income ETF	+9,318	257,509	$13,005,749
RSP	Victory Portfolios II	+8,089	53,115	$11,301,278
LIND	Lindblad Expeditions Holdings, Inc.	+7,682	39,749	$1,122,511
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	+7,080	114,998	$18,245,582
GRDN	Guardian Pharmacy Services, Inc.	+6,729	18,524	$775,599
AMSC	American Superconductor Corp	+6,091	26,431	$1,097,150
IJR	iShares Core S&P Small-Cap ETF	+5,825	244,807	$36,307,326
DVY	iShares Select Dividend ETF	+5,499	120,146	$18,778,819
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
CPSH	Cps Technologies Corp	−151,571	283,951	$1,567,409
GETYQ	Getty Images Holdings, Inc.	−65,863	691,771	$594,923
ARRY	Array Technologies, Inc.	−62,198	71,605	$530,593
XERS	Xeris Biopharma Holdings, Inc.	−50,714	46,102	$365,127
LBRT	Liberty Energy Inc.	−29,565	45,279	$1,185,857
BKSY	BlackSky Technology Inc.	−19,413	35,038	$978,260
PFE	Pfizer Inc	−11,946	18,270	$439,941
REX	REX AMERICAN RESOURCES Corp	−10,227	23,197	$1,047,344
IGA	Voya Global Advantage & Premium Opportunity Fund	−7,957	39,211	$388,188
ATMU	Atmus Filtration Technologies Inc.	−5,689	6,789	$346,171
CMCSA	Comcast Corp	−5,349	14,120	$346,646
HON	Honeywell International Inc	−4,492	4,480	$1,003,072
EPD	Enterprise Products Partners L.P.	−4,180	34,255	$1,259,213
LASR	Nlight, Inc.	−2,888	13,451	$936,458
SMH	VanEck Semiconductor ETF	−2,583	84,209	$55,231,841
LSTR	Landstar System Inc	−2,310	2,374	$490,966
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	−2,016	4,416	$223,361
NWPX	NWPX Infrastructure, Inc.	−1,841	14,625	$2,192,872
ITA	iShares U.S. Aerospace & Defense ETF	−1,370	2,584	$626,413
NFLX	Netflix Inc	−1,265	8,785	$627,249
USMV	iShares MSCI USA Min Vol Factor ETF	−1,232	44,307	$4,273,853
WPC	W. P. Carey Inc.	−1,200	6,434	$460,031
EFAV	iShares MSCI EAFE Min Vol Factor ETF	−1,198	11,729	$1,028,750
SPOT	Spotify Technology S.A.	−1,160	1,503	$690,072
AAON	Aaon, Inc.	−1,141	4,204	$533,319
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
IBIT	iShares Bitcoin Trust ETF	93,841	$3,123,966
TDAY	USA TODAY Co., Inc.	249,273	$2,131,284
HONA	Honeywell Aerospace Inc.	4,480	$990,438
SND	Smart Sand, Inc.	162,334	$813,293
OMDA	Omada Health, Inc.	33,932	$744,807
GENI	Genius Sports Ltd	98,245	$595,364
RES	Rpc Inc	100,088	$583,513
XRAY	DENTSPLY SIRONA Inc.	53,922	$572,112
FENC	Fennec Pharmaceuticals Inc.	48,683	$523,342
TUSK	Mammoth Energy Services, Inc.	152,841	$496,733
KVHI	Kvh Industries Inc \De\	36,376	$360,486
TCBK	Trico Bancshares	6,685	$359,987
HWKN	Hawkins Inc	2,366	$336,208
OPLN	OPENLANE, Inc.	7,640	$315,073
TGTX	Tg Therapeutics, Inc.	4,964	$272,722
AIS	VistaShares Artificial Intelligence Supercycle ETF	2,773	$236,564
SAIA	Saia Inc	561	$236,270
—		4,085	$235,581
SNDR	Schneider National, Inc.	6,401	$233,828
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	610	$225,724
SCHM	Schwab U.S. Mid-Cap ETF	6,062	$223,505
IYW	iShares, Inc.	883	$222,719
CSCO	Cisco Systems, Inc.	1,827	$214,599
LLY	ELI LILLY & Co	177	$212,299
IEMG	iShares Trust	2,525	$209,171
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
EZBC	Franklin Templeton Digital Holdings Trust	54,727	$2,144,751
TDOC	Teladoc Health, Inc.	233,868	$1,274,580
SWIM	Latham Group, Inc.	164,558	$883,676
CCLD	CareCloud, Inc.	216,388	$789,816
CRMD	CorMedix Inc.	92,681	$629,303
BDTX	Black Diamond Therapeutics, Inc.	274,367	$584,401
ARLO	Arlo Technologies, Inc.	38,355	$545,791
BXC	BlueLinx Holdings Inc.	10,017	$542,721
EYE	National Vision Holdings, Inc.	18,717	$484,770
AORT	Artivion, Inc.	13,223	$484,226
ACA	Arcosa, Inc.	4,374	$464,256
PLX	Protalix BioTherapeutics, Inc.	192,080	$416,813
AMPH	Amphastar Pharmaceuticals, Inc.	20,495	$401,497
BUFQ	FT Vest Laddered Nasdaq Buffer ETF	11,000	$388,520
OSIS	Osi Systems Inc	1,243	$330,028
ATEC	Alphatec Holdings, Inc.	29,920	$325,529
—		101,553	$278,255
CALF	Pacer US Small Cap Cash Cows 100 ETF	5,740	$257,553
PRIM	Primoris Services Corp	1,736	$248,317
SLV	iShares Silver Trust	3,616	$246,394
RIGL	Rigel Pharmaceuticals Inc	8,754	$236,708
AKBA	Akebia Therapeutics, Inc.	166,089	$230,863
REGN	Regeneron Pharmaceuticals, Inc.	265	$204,749
ONEQ	Fidelity Nasdaq Composite Index ETF	2,385	$202,510
TDUP	ThredUp Inc.	59,501	$195,163
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

318 tracked positions · $776,487,384 total · filing declares 318 positions · $776,350,375 · as of Jun 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 318 positions by value · page 1 of 7

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
QQQ	Invesco Qqq Trust, Series 1	Added	82,898	+2,834	$61,046,087	+32.1%	23	before history	7.86%
SMH	VanEck Semiconductor ETF	Reduced	84,209	-2,583	$55,231,841	+66.0%	22	unpriced	7.11%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Added	324,884	+11,988	$51,341,418	+10.8%	23	before history	6.61%
JPST	JPMorgan Ultra-Short Income ETF	Added	953,692	+47,631	$48,228,204	+5.2%	19	$50.49	6.21%
IJR	iShares Core S&P Small-Cap ETF	Added	244,807	+5,825	$36,307,326	+22.2%	23	before history	4.68%
VO	VANGUARD MID-CAP INDEX FUND	Added	396,501	+300,544	$31,946,085	+15.9%	23	before history	4.11%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Added	116,373	+3,648	$21,555,770	+18.2%	23	before history	2.78%
AAPL	Apple Inc. Technology	Reduced	66,412	-409	$19,216,976	+13.3%	23	before history	2.47%
DVY	iShares Select Dividend ETF	Added	120,146	+5,499	$18,778,819	+8.2%	22	unpriced	2.42%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Added	114,998	+7,080	$18,245,582	+15.3%	23	before history	2.35%
SDSI	American Century Short Duration Strategic Income ETF	Added	324,038	+36,516	$16,639,351	+12.8%	4	$51.50	2.14%
BRK-A	Berkshire Hathaway Inc Financial Services	Reduced	18	-1	$13,479,300	−1.2%	11	$533,852.10	1.74%
GOOG	Alphabet Inc. Communication Services	Reduced	37,106	-124	$13,110,662	+22.8%	23	before history	1.69%
NBSD	Neuberger Short Duration Income ETF	Added	257,509	+9,318	$13,005,749	+3.3%	4	$51.12	1.67%
MSFT	Microsoft Corp Technology	Added	31,894	+55	$11,897,099	+0.9%	23	before history	1.53%
RSP	Victory Portfolios II	Added	53,115	+8,089	$11,301,278	+30.8%	23	before history	1.46%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	56,686	-1,026	$10,799,816	+40.8%	23	before history	1.39%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	33,963	-114	$8,094,741	+14.1%	23	before history	1.04%
SPY	Spdr S&P 500 ETF Trust	Added	10,145	+1,400	$7,575,981	+33.2%	23	before history	0.98%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Added	131,792	+5,469	$5,975,449	+3.1%	6	unpriced	0.77%
NVDA	Nvidia Corp Technology	Reduced	23,521	-254	$4,706,316	+13.5%	15	unpriced	0.61%
ABBV	AbbVie Inc. Healthcare	Reduced	18,032	-48	$4,537,572	+15.4%	11	$147.17	0.58%
HZO	Marinemax Inc Consumer Cyclical	Added	120,030	+57,521	$4,395,498	+159.9%	4	$28.77	0.57%
XOM	ExxonMobil Holdings Corp Energy	Added	31,771	+111	$4,343,731	−19.1%	23	before history	0.56%
QQQM	Invesco Ltd. Financial Services	Added	14,212	+74	$4,305,809	+28.2%	19	$139.47	0.55%
USMV	iShares MSCI USA Min Vol Factor ETF	Reduced	44,307	-1,232	$4,273,853	+1.2%	23	before history	0.55%
IVW	iShares S&P 500 Growth ETF	Reduced	30,832	-479	$4,240,324	+19.7%	23	before history	0.55%
UNH	Unitedhealth Group Inc Healthcare	Reduced	9,062	-295	$3,766,439	+48.8%	11	$531.38	0.49%
GOOGL	Alphabet Inc. Communication Services	Reduced	9,510	-48	$3,398,588	+23.7%	19	unpriced	0.44%
MU	Micron Technology Inc Technology	Reduced	2,909	-548	$3,357,829	+187.5%	18	$85.42	0.43%
IBM	International Business Machines Corp Technology	Added	11,577	+370	$3,255,568	+19.8%	23	before history	0.42%
IVV	iShares Core S&P 500 ETF	Added	4,343	+171	$3,252,429	+19.3%	19	unpriced	0.42%
WMB	Williams Companies, Inc. Energy	Held	42,776	0	$3,179,967	+2.1%	11	$35.23	0.41%
IBIT	iShares Bitcoin Trust ETF	NEW	93,841	NEW	$3,123,966	NEW	1	$40.68	0.40%
FEIM	Frequency Electronics Inc Technology	Held	46,092	0	$3,058,204	+49.9%	4	$33.22	0.39%
DELL	Dell Technologies Inc. Technology	Held	7,056	0	$3,044,381	+162.9%	11	$78.84	0.39%
APD	Air Products & Chemicals, Inc. Basic Materials	Held	10,133	0	$2,970,792	+0.9%	11	$274.08	0.38%
APH	Amphenol Corp Technology	Held	16,789	0	$2,960,236	+39.5%	23	before history	0.38%
ICE	Intercontinental Exchange, Inc. Financial Services	Held	23,854	0	$2,936,665	−21.7%	11	$119.40	0.38%
CB	Chubb Ltd Financial Services	Held	7,921	0	$2,699,001	+4.5%	11	$221.07	0.35%
JNJ	Johnson & Johnson Healthcare	Added	10,503	+42	$2,667,446	+4.3%	23	before history	0.34%
IBDR	iShares iBonds Dec 2026 Term Corporate ETF	Reduced	109,212	-783	$2,646,206	−0.8%	11	unpriced	0.34%
COF	Capital One Financial Corp Financial Services	Added	13,117	+11	$2,631,532	+10.1%	11	$110.57	0.34%
PKE	Park Aerospace Corp Industrials	Held	67,808	0	$2,587,553	+39.4%	4	$18.86	0.33%
C	Citigroup Inc Financial Services	Held	17,988	0	$2,517,600	+23.4%	11	$49.78	0.32%
ALNT	Allient Inc Technology	Added	24,086	+1,822	$2,479,171	+88.4%	4	$48.29	0.32%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	4,871	+930	$2,437,399	+29.1%	18	$423.75	0.31%
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	Added	19,470	+17,031	$2,327,054	—	19	unpriced	0.30%
TMS	Teamshares Inc Financial Services	Added	277,236	+140,531	$2,278,879	+60.3%	2	$10.38	0.29%
CVX	Chevron Corp Energy	Held	13,353	0	$2,213,393	−19.9%	19	$148.06	0.29%

Showing the top 50 of 318 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.