Fee-only adviser · Center Conway, NH
Rockworth Investment Services LLC
Rockworth Investment Services LLC is a fee-only investment adviser registered with the securities regulators of Maine, New Hampshire, with its main office in Center Conway, New Hampshire. On its latest Form ADV, filed January 15, 2026, it reports $7.8M in regulatory assets under management, 61 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: Maine, New Hampshire |
|---|---|
| Firm CRD number | 154115 |
| Office | 115 Odell Hill Road Center Conway, NH 03813 |
| Phone | (603) 344-9942 |
| Website | www.rockworthis.com |
| Regulatory assets under management | $7.8M ($7.6M discretionary) |
| Individual clients | 59 non-high-net-worth, 2 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | Yes, see SEC record |
| Latest Form ADV filing | January 15, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports disciplinary history on Form ADV. Read the disclosure details on its SEC record before you engage it.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Nearby
- Waterville Valley 1 firm
- Center Sandwich 1 firm
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