Rocaton Investment Advisors LLC
advisor37 known aliases resolved via the canonical alias map
Market position · 2024
Plans served65-15 YoYRank #305 of mapped providers
Assets under administration$84.1B0.1%Market share · rank #171
Fees received$5MMedian $50,000/planSum across Schedule C direct + indirect
Net wins YoY-155 won · 20 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical Rocaton Investment Advisors LLC plan look like?
Service mix · median fees per plan
Count of plans where Rocaton Investment Advisors LLC ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment management; Direct payment from the plan; Investment advisory (plan)Code 27 | 37 | $45,000 | |
Investment management; Direct payment from the plan; Consulting (general); Investment management fees paid directly by planCode 16 | 10 | $36,448 | |
Investment management; Non-monetary compensation; Investment management fees paid directly by plan; Direct payment from the planCode 28 | 10 | $93,700 | |
Investment advisory (plan); Investment advisory (participants)Code 26 | 3 | $13,482 | |
Consulting feesCode 70 | 2 | $102,051 | |
Other feesCode 99 | 2 | $55,332 | |
Contract AdministratorCode 13 | 1 | $11,522 | |
Other fees; Other servicesCode 49 | 1 | $0 |
Competitor overlap
Percent of Rocaton Investment Advisors LLC's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under Rocaton Investment Advisors LLC.
| Sponsor | From | Assets |
|---|---|---|
R.R. DONNELLEYIL · 361004130-022 | UBS Global Asset Management | $380M |
TEGNA INC.VA · 160442930-009 | WTW | $338M |
INTERNATIONAL RESCUE COMMITTEENY · 135660870-002 | The PFE Group | $253M |
UNITED BIOSOURCE LLCPA · 463047667-001 | John Hancock | $108M |
CENTER ON BUDGET AND POLICY PRIORITIESDC · 521234565-001 | TIAA | $61M |
Plans lost in 2024
Appeared last year under Rocaton Investment Advisors LLC; not this year.
| Sponsor | To | Assets |
|---|---|---|
WELLS FARGO & COMPANYCA · 410449260-001 | Fixed Income Finance PGIM Inc | $8.8B |
INSPERITY HOLDINGS, INC.TX · 760178498-001 | Goldman Sachs Asset Management | $8.1B |
NEXTERA ENERGY, INC.FL · 592449419-001 | Boston Partners Global Investors | $5.1B |
NEXTERA ENERGY, INC.FL · 592449419-002 | T. Rowe Price | $5.0B |
ECOLAB INC.MN · 410231510-003 | Strategic Advisers | $3.8B |
HIGHMARK HEALTHPA · 453674900-333 | NEPC LLC | $3.3B |
NORTHWELL HEALTH, INC.NY · 113418133-006 | NISA Investment Advisors | $2.7B |
R. R. DONNELLEY & SONS COMPANYIL · 361004130-003 | Northern Trust | $1.2B |
INSPERITY HOLDINGS, INC.TX · 760178498-004 | Goldman Sachs Asset Management | $549M |
VEOLIA WTS USA, INC.PA · 231503731-001 | Fidelity Investments | $402M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
LIBERTY MUTUAL GROUP INC.MA · 043583679-002 | $11.4B | 49,659 | $371,539 | 10y | 2 |
NORTHWELL HEALTH, INC.NY · 113418133-003 | $10.9B | 65,962 | $110,935 | 7y | - |
KPMG LLPNJ · 135565207-011 | $10.5B | 55,312 | $257,697 | 10y | 1 |
THE CHARLES SCHWAB CORPORATIONTX · 943025021-002 | $8.9B | 43,502 | $9,625 | 2y | 1 |
WESTROCK COMPANYGA · 473335141-018 | $5.0B | 45,282 | $324,168 | 7y | 1 |
MACYS, INC.OH · 133324058-013 | $4.6B | 163,125 | $50,000 | 10y | - |
XEROX CORPORATIONCT · 160468020-334 | $4.0B | 20,394 | $234,781 | 7y | - |
GLAXOSMITHKLINE LLCPA · 231099050-003 | $2.9B | 35,701 | $138,938 | 6y | - |
NORTHWELL HEALTH, INC.NY · 113418133-001 | $1.9B | 43,550 | $11,636 | 7y | 1 |
SAINT-GOBAIN CORPORATIONPA · 232615166-002 | $1.8B | 10,002 | $8,873 | 10y | 2 |
Flag exposure
83.1%Market: 89.1%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (37)
Raw Schedule C names collapsed into Rocaton Investment Advisors LLC.
- HERBST FINANCIAL ADVISORS, INC.
- HERCULES INDUSTRIES, INC
- HERFF JONES LLC
- HERGETY ASSET MANAGEMENT
- HERITAGE ADMINISTRATIVE SVCS, LLC
- HERITAGE BUSINESS STRATEGIES
- HERITAGE CAPITAL, LLC
- HERITAGE FINANCIAL CONSULTANTS
- HERITAGE FINANCIAL SERVICES
- ROCALON INVESTMENT ADVISORS, LLC
- ROCATION INVESTMENT ADV, LLC
- ROCATION INVESTMENT ADVISORS
- ROCATION INVESTMENT ADVISORS LLC
- ROCATION INVESTMENT ADVISORS, LLC
- ROCATON
- ROCATON ADVISORS
- ROCATON INV ADV
- ROCATON INV ADVISORS, LLC
- ROCATON INVESRMENT ADVISORS,LLP
- ROCATON INVEST ADVISORS LLC
- ROCATON INVESTMENT
- ROCATON INVESTMENT ADV
- ROCATON INVESTMENT ADVIS
- ROCATON INVESTMENT ADVISERS, LLC
- ROCATON INVESTMENT ADVISOR
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for Rocaton Investment Advisors LLC's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 2 | 3.08% | 7.76% | -4.69 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 12 | 18.46% | 1.71% | +16.75 pp |
| Failed to provide benefit | 4 | 6.15% | 0.14% | +6.01 pp |
| Corrective distributions | 23 | 35.38% | 1.76% | +33.63 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with Rocaton Investment Advisors LLC. Compare to the incumbent market share (0.1%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.1 pp vs incumbent
Frequent partners by role
Who else shows up on Rocaton Investment Advisors LLC's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Morgan Lewis & Bockius LLP | 5 | 7.7% |
| Covington & Burling LLP | 2 | 3.1% |
| Littler Mendelson, P.C. | 2 | 3.1% |
| Reid & Riege PC | 2 | 3.1% |
| Willkie Farr & Gallagher LLP | 2 | 3.1% |
| Ballard Spahr LLP | 1 | 1.5% |
| Goodwin Procter LLP | 1 | 1.5% |
| Kelley Drye & Warren LLP | 1 | 1.5% |
| Kirkland & Ellis LLP | 1 | 1.5% |
| Larsen Law PLLC | 1 | 1.5% |
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).