Institutional Distribution Services

 


Rockfleet can provide third party institutional distribution services on behalf of your boutique investment management organization.

Services

Rockfleet can assist with all aspects of your regulatory and operational needs for both registered and private funds, including:


  • Processing all Appropriate Registrations, Tests, and Renewals
  • Maintaining State and FINRA Registrations
  • Conducting Annual Compliance Meetings
  • Conducting Periodic On-Site Office Exams
  • Conducting Compliance Training
  • Administering FINRA's Continuing Education Program
  • Establishing Supervising Principal at Office of Supervisory Jurisdiction (OSJ)
  • Commission Processing
  • Preferential Commissions for Employee and Employee-Related Securities Accounts
  • Dedicated Cloud Server

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Credentials

Rockfleet is qualified to provide exceptional service to you:


  • Broker/dealer since January 2010
  • Regulatory matters outsourced to former SEC enforcement attorney
  • Highly automated back office operations and compliance monitoring
  • CEO has 30+ years financial services experience and is registered with FINRA for Series 4, 7, 24, 27, 50, 53, 63, 66, 79, GP, and SIE
  • CCO has 15 years compliance experience
  • Email and data archiving and backup outsourced to FINRA-approved vendors
  • Servers located in a secure facility and managed by a System Architect with System Center Operations Manager (SCOM) and CyberArk Engineer certifications
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Third-Party Fees at Cost

Rockfleet does not mark-up third-party fees, such as:


  • FINRA CRD Fees, Fines, Continuing Education, Exams, Advertising, Etc.
  • Email Archiving
  • Bank Service Fees
  • Clearing Fees
  • Training Materials
  • Dedicated Cloud Server Set-Up (Approximately $350 One-Time Charge)
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Monthly Fees

Rockfleet's monthly fees are a percentage of commissions:

Commissions Fee*
$0 - $1,000,000 1.00%
$1,000,000 - $2,000,000 0.95%
$2,000,000 - $3,000,000 0.90%
$3,000,000 - $4,000,000 0.85%
$4,000,000 - $5,000,000 0.80%
Over $5,000,000 0.75%

* The total commission to be paid out at the lowest rate, e.g., $1,500,000 would be $1,500,000 @ .095% ($14,250), not tiered at $1,000,000 @ 1.00% and $500,000 @ 0.95% ($14,750).

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