Rock Maple Services, LLC (New York)

Name: Rock Maple Services, LLC
Address: 60 East 42 Nd Street, New York, NY, 10165
Telephone: 212-813-2720

Rock Maple Services, LLC is a large advisory firm based in New York. It manages $252.26 million of regulatory assets for 59 client accounts. It has been registered with the SEC as an adviser since 2008.

Rock Maple Services provides selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rock Maple Services: assets under management

The assets under management (AUM) of Rock Maple Services, LLC is $252.26 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $252.26 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.28 million each.

Rock Maple Services has custody of $252.26 million in cash and securities for 59 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rock Maple Services, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rock Maple Services, LLC

Douglas Christian Fincher has been acting as President since 1 Mar 2008. Ken Chan joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Whittier Freelove	Managing member	1 Nov 2002	75% - 100%	1990327
Tatjana Maria Vanjak	Member/chief compliance officer	1 Nov 2002	Other	2239446
Douglas Christian Fincher	President/ceo	1 Mar 2008	Other	1702676
Ken Chan	Cco	1 Jan 2011	Other	5281504
Yeung Chan	Chief compliance officer	1 Jan 2011	Other	5281504
James Walter Ancey	President/cco	1 Aug 2012	Other	1258268
Ken Chan	Cco	1 Jan 2014	Other	5281504

Based in New York

The principal office where Rock Maple Services, LLC performs its advisory services is located at 60 East 42 Nd Street, New York, NY 10165, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-813-2720 or by fax 212-813-2730. The normal business hours are 8:00am to 6:00pm on Monday - Friday. You can find more information about the New York firm at www.rockmaplefunds.com (under construction).