Mark Thomas Rochford

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Contact Information

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Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

34 years registered in the securities industry

Current & Past Employments

Current

BAKER TILLY WEALTH MANAGEMENT, LLCCurrent·CRD# 167811

RIA

8365 Keystone Crossing Suite 200, Indianapolis, IN 46240

December 23, 2020 - Present

Past

BAKER TILLY INVESTMENT SERVICESPast·CRD# 300822

RIA

Madison, WI

March 18, 2019 - December 26, 2020

UMBAUGH CASH ADVISORY SERVICES, LLCPast·CRD# 136904

RIA

Indianapolis, IN

April 26, 2017 - March 29, 2019

SECURITIES SERVICE NETWORK, LLCPast·CRD# 13318

BD

Bloomfield Hills, MI

July 21, 2014 - September 2, 2014

PFM FUND DISTRIBUTORS, INC.Past·CRD# 114474

BD

Ann Arbor, MI

February 17, 2004 - March 11, 2014

RANGEMARK CAPITAL MARKETS, INC.Past·CRD# 42025

BD

Greenwich, CT

December 10, 2003 - February 27, 2004

BNY MELLON SECURITIES LLCPast·CRD# 47268

BD

Jersey City, NJ

October 1, 2001 - February 27, 2003

METLIFE INVESTORS DISTRIBUTION COMPANYPast·CRD# 6695

BD

Newport Beach, CA

October 20, 2000 - June 11, 2001

GUARANTY BROKERAGE SERVICES, INC.Past·CRD# 23302

BD

St. Cloud, MN

January 7, 2000 - June 8, 2000

METLIFE INVESTORS DISTRIBUTION COMPANYPast·CRD# 6695

BD

Newport Beach, CA

July 31, 1999 - January 10, 2000

GUARANTY BROKERAGE SERVICES, INC.Past·CRD# 23302

BD

St. Cloud, MN

August 19, 1996 - October 29, 1999

THE HUNTINGTON INVESTMENT COMPANYPast·CRD# 16986

BD

Columbus, OH

January 29, 1993 - August 1, 1996

EDWARD JONESPast·CRD# 250

BD

St. Louis, MO

February 12, 1992 - November 30, 1992

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Current Firm

BT

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - SEC (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - Louisiana (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - Texas (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (9/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone Number

(833) 761-0673

# of Employees

31

SEC notice filing (27 States and Territories)

Registered to provide investment advisory services in 27 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/28/2026)

Regulatory Assets Under Management

Total Number of Accounts

2,666

AUM (Assets Under Management)

$5,189,412,490

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
09/11/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") IS A CONTROLLED SUBSIDIARY OF BAKER TILLY ADVISORY GROUP, LP ("BAKER TILLY"). SALARY AND VARIABLE COMPENSATION (IF APPLICABLE) IS PAID BY BAKER TILLY. 100% OF TIME IS SPENT ON ADVISORY SERVICES WITH BTWM. THERE IS AN EXPENSE SHARING AGREEMENT IN PLACE BETWEEN BTWM & BAKER TILLY WHICH GOVERNS SHARING OF PERSONNEL AND RESOURCES. 2) MARK ROCHFORD, OWNER; REAL ESTATE INVESTING; START DATE 2/19/2024; LESS THAN 15 HOURS PER MONTH SPENT ON REAL ESTATE INVESTMENT ACTIVITIES

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BT

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - SEC (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - Louisiana (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - Texas (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (9/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

IAR

Indiana
(12/23/2020)

IAR

Michigan
(4/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.