CR
Curtis M. Rocca
DCA FAMILY OFFICE
Roseville, CA 95661
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CRD#: 6126152
CR
Professional summary
Curtis Mitchell Rocca III, who also goes by Curtis M. Rocca III, Curt Rocca, is a registered financial advisor currently at DCA FAMILY OFFICE, LLC located in Roseville, California.
Curtis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Curtis has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Curtis M. Rocca Iii | Curt Rocca
Other business activities
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.
DCA Partners, LLC - Merger and Acquisition Advisory Firm; Partner; 01/2001; Mr. Rocca is primarily responsible for overseeing the strategic direction and providing mentorship to other team members and spends approximately 20 hours or less per month (or 12% of his time) conducting such activities during business hours. DCA Management Company, Inc. - Private Equity Fund Management Company; Partner; 01/2005; Mr. Rocca oversees the firm's activities and participates in the firm's Investment Committee, and spends approximately 15 hours per month (or less than 10% of his time) conducting such activities during business hours. JP Rocca Real Estate and Design Services, LLC - Personal Real Estate Investment; Partner; 07/2015; Mr. Rocca Assists his wife, who is the primary operator, with managing their personal residential and agricultural investments and spends approximately 8 hours or less per month (or less than 10% of his time) conducting such activities outside business hours. Casparian Holdings, LLC - Holding company that manages wine-related assets; Board Member; 04/2023; Mr. Rocca is a Board Member of a portfolio company within a DCA Client portfolio requested by Client in furtherance of Client's interests and spends approximately 6 hours per month (or less than 10% of his time) conducting such activities during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Mitchell Rocca III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 13, 2023 - Present
DCA FAMILY OFFICE, LLC
Office #1: 3721 Douglas Blvd. Ste. 205, Roseville, CA 95661RIA
CRD#: 322047
Roseville, CA
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".
DF
DCA FAMILY OFFICE, LLC
DCA FAMILY OFFICE, LLC | DCA PRIVATE MARKETS
CRD#: 322047 / SEC#: 801-128127
RIA
Registered Investment Advisory firm - (6/8/2023 Approved)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.Highlighted states indicate IAR registrations
IAR
California(6/13/2023)
Current Firm
DF
DCA FAMILY OFFICE, LLC
DCA FAMILY OFFICE, LLC | DCA PRIVATE MARKETS
CRD#: 322047 / SEC#: 801-128127
RIA
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Contact information
Main Address
3721 Douglas Blvd Suite 350, Roseville, CA 95661
Mailing Address
Phone number
(916) 960-5357
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 161,651,521 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DCA FAMILY OFFICE, LLC
CRD#: 322047Roseville, CA 95661TRUST BUT VERIFY
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