Rocaton Investment Advisors is an institutional-focused financial advisor firm headquartered in Norwalk, Connecticut that has grown to manage $8.7 billion in assets since its founding in 1983. It principally deals with various types of retirement plans, and it also works with charitable organizations and businesses. Rocaton is one of several entities that make up Goldman Sachs Asset Management (GSAM).
This is a fee-only firm, so its income is exclusively made up of the fees that clients pay. That's in contrast with a fee-based firm, which would also earn compensation from insurance sales, security transactions or other outside sources.
Rocaton Investment Advisors Background
Rocaton Investment Advisors was established in 2002, and in April 2019, it was acquired by GSAM Holdings, LLC, a financial services holding company belonging to Goldman Sachs. As a result of this sale, Rocaton became a part of Goldman Sachs Asset Management. The firm’s leadership team consists of 14 principals, many of whom have been with the firm since its inception. This group averages more than 25 years' experience in the financial services industry.
Rocaton has 53 advisors in its employ. Among these advisors, seven are chartered financial analysts (CFAs) and two are chartered alternative investment analysts (CAIAs).
What Types of Clients Does Rocaton Investment Advisors Accept?
The largest portion of Rocaton Investment Advisors' institutional client base is comprised of pension and profit-sharing plans, but the firm also works with some charitable organizations. It also counts two corporations and a single high-net-worth individual among its clients.
Rocaton Investment Advisors Minimum Account Sizes
As Rocaton Investment Advisors offers several different types of accounts, some of them come with varying minimum requirements. To take part in a wrap fee program, the firm generally requires at least $100,000 in investable assets. Additionally, investing in some of the funds that the firm manages requires a minimum investment amount of between $500,000 and $5 million.
Services Offered by Rocaton Investment Advisors
Rocaton Investment Advisors provides investment advisory services to its clients on both a discretionary and non-discretionary basis. These services can include general investment management, asset allocation analysis, selection of third-party advisors and other offerings incidental to investment management. Several different wrap fee programs are also available through Rocaton, some of which are sponsored by affiliates of the firm.
These services are often implemented by following one of the firm’s many investment strategies, which include:
- Fundamental Equity
- Energy and Infrastructure
- Global Fixed-Income and Liquidity Management
- Insurance Asset Management
- Credit Alternatives
- Quantitative Investment Strategies
- Equity Alpha
- Alternative Risk Premia
- Smart Beta
- Alternative Investments and Manager Selection
- Hedge Funds
- Private Equity
- Private Credit
- Real Estate
- Environmental, Social and Governance and Impact
- Public Credit, Fixed-Income and Equity
- AIMS Hedge Funds
Rocaton Investment Advisors Investment Philosophy
In order to formulate its investment recommendations, Rocaton relies on proprietary risk, return and correlation models to gauge the expected risk and return of different asset allocations across several market environments. Specifically, Rocaton often applies a Monte Carlo portfolio optimization process to forecast returns in different scenarios. The allocations it recommends are typically based on these forecasted characteristics, including expected volatility and correlation of returns, liquidity and transaction costs and, of course, on client objectives.
For some of its clients, Rocaton will start the process by reviewing and recommending one or more asset classes. From there, it will evaluate exposure to active, enhanced and passive investment strategies within each asset class and recommend the best option for each. Client input and objectives will play a large role in these recommendations.
Fees Under Rocaton Investment Advisors
Advisory fees at Rocaton Investment Advisors are negotiated separately on client to client basis. As a consequence, there is no standard fee schedule for institutional clients. Fees at Rocaton are typically charged on a quarterly basis, either in arrears or in advance.
Opening an Account With Rocaton Investment Advisors
If you’re interested in learning more about the services Rocaton Investment Advisors has to offer, you can contact John Hartman by calling (203) 621-1717 or emailing email@example.com. For general questions, you can also send an email to firstname.lastname@example.org or dial (203) 621-1700.
Where Is Rocaton Investment Advisors Located?
Rocaton Investment Advisors has its headquarters in Norwalk, Connecticut on Glover Avenue, near where Main Avenue intersects with Merritt Parkway. Norwalk is around 50 miles northeast of New York City.
Tips for Retirement Planning
- Looking for a financial advisor who works with individual clients? SmartAsset’s free tool matches you with financial advisors in your area in 5 minutes. If you’re ready to be matched with local advisors that will help you achieve your financial goals, get started now.
- Don’t forget to take Social Security payments into account when you formulate what kind of income you’ll need in retirement. If you don’t know what you’re in line to receive, check out SmartAsset’s Social Security calculator.