Markets Served

We currently advise on approximately $600 billion in assets, from clients, including retirement plans, insurance companies, endowments, foundations and financial intermediaries. Collaboration and customization are the cornerstones of our business model and we tailor our services to meet each client’s unique needs.


We serve clients and asset pools including defined benefit plans, defined contribution plans, financial intermediaries, insurance companies, endowments and foundations, hospitals and high net worth families.  In the corporate space, our clients’ industries range from automotive to paper production, retail to media, as well as a wide array of professional services firms, including financial services, legal services, accounting and strategic consulting firms.

More than half of our clients have utilized Rocaton’s services for at least five years.  With approximately 65 employees, we are large enough to offer a comprehensive suite of services, yet small enough to provide the customized level of service, responsiveness and innovation that our clients expect.

Defined Benefit

Approximately half of Rocaton’s clients utilize our defined benefit consulting services. Rocaton partners with plan sponsors to review the relevant aspects that affect investment portfolios, including assistance with the development of an Investment Policy Statement we consider best-in-class and assisting with governance and monitoring. With an average of more than 24 years of industry experience, our senior research and consulting professionals have helped our defined benefit clients navigate a wide variety of market cycles.

We view our role as providing objective and independent insight on potential asset classes, investment strategies and specific investments across both public and private markets.  From asset allocation to performance monitoring, we work closely with clients to customize our services and recommendations to their specific situations and needs.

Defined Contribution

More than half of Rocaton’s clients utilize our defined contribution plan consulting services. We currently advise defined contribution plans with participant populations ranging from less than 1,000 to over 100,000. We partner with our clients in developing an appropriate menu of investment options and in the implementation and monitoring of the options. We work closely with our clients to develop investment programs that offer participants the ability to access, or construct, well-diversified portfolios at various levels of expected risk and return.

We assist plan sponsors in fulfilling their fiduciary responsibilities by helping to implement programs and policies designed to improve participation rates, reduce expenses and optimize the mix of investment options for participants. In addition, we tailor client education programs to address the unique needs of each client.

Endowments & Foundations

A number of endowments and foundations have chosen to partner with Rocaton for our flexibility and customized approach.  At the onset of each relationship, we develop a thorough understanding of the objectives and strategy of the endowment or foundation.  We focus on the organization’s spending needs, degree of reliance on the endowment or foundation assets to meet the organization’s objectives, and risk tolerance.

Working closely with our endowment or foundation clients, we develop a process to study a wide range of asset classes and strategies, provide recommendations or enhancements to the current investment portfolio, potentially including additional diversifying asset classes and manager searches, where necessary.

Financial Intermediary

Rocaton has partnered with financial intermediaries since the firm’s inception in 2002. We have extensive experience developing model asset allocation portfolios and constructing investment programs, as well as recommending mutual funds, separate account managers and sub-advisors for distribution to the retail, high net worth, and institutional channels.

    The services we provide to our financial intermediary clients typically include:

  • Manager search and recommendations
  • Research reports on current managers
  • Analysis of multi-manager portfolio construction
  • Quarterly performance reporting and analysis
  • Ongoing discussions regarding industry trends and potential new product ideas
  • Ongoing dialogue regarding personnel and organizational changes with investment managers engaged by the financial intermediary

Healthcare Systems

Since our inception, Rocaton has worked with healthcare organizations, including health systems and other nonprofit clients. Typically, we advise our healthcare industry clients on multiple portfolios, which may include defined benefit, defined contribution, operating assets and endowment/foundation asset pools. We work closely with our healthcare industry clients to develop and monitor diversified investment portfolios that consider factors such as liquidity requirements, the need to maintain investment principal, and restrictions imposed by statutory reserve requirements.

Identifying high quality investment managers willing to manage portfolios in accordance with specific guidelines imposed by healthcare systems can be a challenge.  We have helped clients to navigate these challenges by focusing on gain/loss considerations, prohibited investments, concentration limits and separate account requirements.

Insurance Companies

As an organization, Rocaton has partnered with insurance companies since 2002.  We work closely with each insurance client to understand their business goals and investment objectives, mindful of the specific limitations to which they are subject, including statutory, rating agency, tax and capital requirements.  Our investment professionals have extensive experience advising clients, and we approach insurance investment advice for clients from an enterprise-wide perspective.  Importantly, Rocaton’s insurance practice draws upon expertise and resources across the firm, particularly asset allocation and manager research.

Private Wealth

Family offices, as well as high net worth individuals and families have partnered with Rocaton for assistance with generational wealth preservation.

    Services we provide to our private wealth clients include:

  • Strategic asset allocation
  • Manager search and selection
  • Research reports on current managers
  • Advice on mandates currently employed or under consideration
  • Quarterly performance reporting and analysis
  • Ongoing discussions regarding industry trends and potential new investment ideas
    In addition to traditional investment consulting services, we partner with our private wealth clients to help address the following questions:

  • What is a “safe” asset class today?
  • How much inflation do we expect in coming years?
  • What assets should a taxable investor hold?
  • What fee levels are appropriate?