Adam Underwood

ROCKBRIDGE INVESTMENT MANAGEMENT

Syracuse, NY 13202

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CRD#: 6975948

Professional summary

Adam Underwood is a registered financial advisor currently at ROCKBRIDGE INVESTMENT MANAGEMENT, LLC located in Syracuse, New York.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Adam has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Underwood's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 22, 2022 - Present

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

Office #1: 220 South Warren Street 9th Floor, Syracuse, NY 13202

RIA

CRD#: 115754

Syracuse, NY

Past

August 28, 2018 - March 3, 2022

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SYRACUSE, NY

Past

July 24, 2018 - March 3, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

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".

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

AGRI-INVEST, INC. | ROCKBRIDGE INVESTMENT MANAGEMENT, LLC | AQRI- INVEST, LLC | AQRI- INVEST | AGRI-INVEST, LLC

CRD#: 115754 / SEC#: 801-60639

RIA

Registered Investment Advisory firm - (10/18/2001 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

New York
(9/22/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2018

General Securities Representative Examination

Current Firm

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

AGRI-INVEST, INC. | ROCKBRIDGE INVESTMENT MANAGEMENT, LLC | AQRI- INVEST, LLC | AQRI- INVEST | AGRI-INVEST, LLC

CRD#: 115754 / SEC#: 801-60639

RIA

Registered Investment Advisory firm - (10/18/2001 Approved)

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Contact information

Main Address

220 South Warren Street 9th Floor, Syracuse, NY 13202

Mailing Address

Phone number

(315) 671-0588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCKBRIDGE PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	4,108
AUM (Assets Under Management)	$ 1,660,732,364

Red Flags

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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Adam Underwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Underwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2018

Current Firm

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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