ROCK POINT ADVISORS, LLC

HTTPS://WWW.ROCKPOINTADVISORS.COM BURLINGTON, VT Investment Advisor How do I update this listing?

Rock Point Advisors is based out of Burlington. Rock Point Advisors is a large advisory firm with 224 clients and discretionary assets under management (AUM) of $318,954,299 (Form ADV from 2019-03-13). Their last reported 13F filing for Q3 2019 included $221,438,000 in managed 13F securities and a top 10 holdings concentration of 51.89%. Rock Point Advisors's largest holding is Centurylink Inc with shares held of 1,208,696. Rock Point Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 63 13F filings

Subscription Required

Equal-WT
WhaleScore

?

67

S&P 500
WhaleScore

?

Subscription Required

Manager Weighted
WhaleScore

?
Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $221.438 Million
  • Prior Market Value $219.802 Million
  • New Purchases3 stocks
  • Additional Purchases30 stocks
  • Sold out of2 stocks
  • Reduced holdings in24 stocks
  • Top 10 Holdings % 51.89 %
  • Turnover % [1]:6.94%
  • Turnover Alt % [2]: 7.56 %
  • Time Held Top20:11.05 quarters
  • Time Held Top10:11.40 quarters
  • Time Held All:20.15 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 11.69%
Performance Last 4 Quarters: 18.39%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR/A (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ROCK POINT ADVISORS, LLC
77 COLLEGE STREET, 4TH FLOOR
BURLINGTON VT    05401-4014
Country: United States

Business Phone: 802-864-2266
Fax: 802-864-1116
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: VT
Number of employees: 9
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 137,090,000
Total Number of Clients: 224
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

ROCK POINT ADVISORS, LLC

ownership team - last updated 2019-03-13
Name Title Start Date Direct/Indirect % Ownership
HUFFMAN, MICHAEL, LEIGHTON PRESIDENT 03/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC PRESIDENT direct 2004-03-01
FRASER MANAGEMENT ASSOCIATES, INC. SHAREHOLDER direct 2004-06-01
FRASER MANAGEMENT ASSOCIATES, INC. VICE PRESIDENT direct 1997-09-01 2003-08-29
WULFSON, TODD, ALAN VICE PRESIDENT 05/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC VICE PRESIDENT direct 2004-05-01
FRASER MANAGEMENT ASSOCIATES, INC. VICE PRESIDENT direct 2000-01-01 2003-08-29
ROCK POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-05-01 2009-03-06
CULVER, BRIAN, RICHARD CHIEF COMPLIANCE OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01

ROCK POINT ADVISORS, LLC

ownership team - last updated 2018-05-21
Name Title Start Date Direct/Indirect % Ownership
HUFFMAN, MICHAEL, LEIGHTON PRESIDENT 03/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC PRESIDENT direct 2004-03-01
FRASER MANAGEMENT ASSOCIATES, INC. SHAREHOLDER direct 2004-06-01
FRASER MANAGEMENT ASSOCIATES, INC. VICE PRESIDENT direct 1997-09-01 2003-08-29
WULFSON, TODD, ALAN VICE PRESIDENT 05/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC VICE PRESIDENT direct 2004-05-01
FRASER MANAGEMENT ASSOCIATES, INC. VICE PRESIDENT direct 2000-01-01 2003-08-29
ROCK POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-05-01 2009-03-06
CULVER, BRIAN, RICHARD CHIEF COMPLIANCE OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROCK POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01

WhaleScore history for ROCK POINT ADVISORS, LLC

You must have a subscription to view WhaleScore histories

Elevate your investments