# ROCATON INVESTMENT ADVISORS, LLC

ROCATON INVESTMENT ADVISORS, LLC of NORWALK, CT is an SEC-registered investment adviser.

## Registration

- CRD: 120451
- Type: SEC-registered investment adviser
- SEC file number: 801-61144
- Location: 20 GLOVER AVENUE, NORWALK, CT, 06850
- Phone: 203-621-1700
- Latest filing: 2024-04-12
- Regulatory AUM: $13.0B
- Discretionary AUM: $13.0B
- Non-discretionary AUM: $10.8M
- Clients: 23
- Accounts: 128

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| [KATZ DAVID JAY](https://search.stillhousedata.com/person/732626) | MANAGING DIRECTOR; MEMBER; PARTNER | — |
| [PELLISH ROBIN SHERRY](https://search.stillhousedata.com/person/732627) | CEO; CEO AND MEMBER; CHIEF EXECUTIVE OFFICER (+3 more) | — |
| [NANKOF JOSEPH SCOTT](https://search.stillhousedata.com/person/732628) | MANAGING DIRECTOR; MEMBER; PARTNER | — |
| [BUEHL ANNE CAROLINE](https://search.stillhousedata.com/person/732629) | MANAGING DIRECTOR; MEMBER; PARTNER | — |
| [FENNINGDORF ROGER L](https://search.stillhousedata.com/person/732630) | MANAGING DIRECTOR; MEMBER; PARTNER | — |
| [CESARE CHRISTOPHER J](https://search.stillhousedata.com/person/732631) | MANAGING DIRECTOR; MEMBER; PARTNER | — |
| [MOORE JULIE](https://search.stillhousedata.com/person/732632) | MEMBER; PARTNER | — |
| [MORTON DAVID ANTHONY](https://search.stillhousedata.com/person/732633) | MEMBER; PARTNER | — |
| [LYON CHRISTOPHER RANDOLPH](https://search.stillhousedata.com/person/732634) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND MEMBER; MEMBER (+1 more) | — |
| [DELALLA ELIZABETH](https://search.stillhousedata.com/person/756082) | MEMBER | — |
| [HAUGEN CARLA](https://search.stillhousedata.com/person/790783) | MEMBER | — |
| [ZANDI MERIAM](https://search.stillhousedata.com/person/790784) | MEMBER | — |
| [MULLER DANIELLE MARIE](https://search.stillhousedata.com/person/810000) | MEMBER | — |
| [METZGER ELISA D](https://search.stillhousedata.com/person/822803) | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER; COO | — |
| [WHEAT ADAM](https://search.stillhousedata.com/person/822804) | MEMBER | — |
| [PORGES ELLEN RANDY](https://search.stillhousedata.com/person/838709) | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER); GENERAL COUNSEL, INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
| [STEIN LAURENCE](https://search.stillhousedata.com/person/847923) | CHIEF OPERATING OFFICER | — |
| [COTA ALBERTO](https://search.stillhousedata.com/person/851160) | CHIEF OPERATING OFFICER | — |
| [METZGER ELISA DOUGHERTY](https://search.stillhousedata.com/person/855379) | CHIEF COMPLIANCE OFFICER | — |
| [PLUTZER DAVID SETH](https://search.stillhousedata.com/person/862188) | CHIEF LEGAL OFFCER; GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFCER) | — |
| [PLUTZER DAVID](https://search.stillhousedata.com/person/865210) | GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFCER) | — |
| [NACHMANN MARC OTTO](https://search.stillhousedata.com/person/874435) | CHIEF EXECUTIVE OFFCER | — |
| [Bousquette William CHARLES](https://search.stillhousedata.com/person/877613) | CHIEF OPERATING OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/120451/brochure
- Similar advisers: https://search.stillhousedata.com/firm/120451/similar
- Related entities: https://search.stillhousedata.com/firm/120451/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/120451

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.