Last Updated: August 30, 2025
BlueRock Asset Management LLC is registered as a limited liability company in the State of Delaware, United States, with registration number 12345678. Our principal place of business is located at 123 Financial District, New York, NY 10005.
BlueRock Asset Management LLC operates as a registered investment advisor (RIA) under the Investment Advisers Act of 1940. We are registered with the U.S. Securities and Exchange Commission (SEC) with registration number 801-XXXXX.
Registration with the SEC or any state securities authority does not imply a certain level of skill or training. Additional information about BlueRock Asset Management LLC is available on the SEC's website at www.adviserinfo.sec.gov.
As a registered investment advisor, we file Form ADV with the SEC. Form ADV consists of two parts:
Our Form ADV is available upon request or can be accessed through the SEC's Investment Adviser Public Disclosure (IAPD) website.
Our cryptocurrency investment services are offered in compliance with applicable federal and state regulations. We maintain appropriate licenses and registrations as required by law for the provision of cryptocurrency-related investment services.
BlueRock Asset Management LLC is registered with the Financial Crimes Enforcement Network (FinCEN) as a Money Services Business (MSB) with registration number XXXXXXXX. We comply with all applicable anti-money laundering (AML) and know-your-customer (KYC) requirements.
We maintain a comprehensive compliance program designed to ensure adherence to all applicable laws and regulations. Our compliance program includes:
Our Code of Ethics establishes standards of conduct expected of our employees and addresses conflicts of interest that may arise from personal trading. Key elements of our Code of Ethics include:
A copy of our Code of Ethics is available to clients and prospective clients upon request.
We maintain a privacy policy that describes how we collect, use, and protect client information. Our privacy policy complies with the Gramm-Leach-Bliley Act and other applicable privacy laws. You can view our privacy policy here.
We maintain a business continuity plan designed to ensure that we can continue to serve our clients in the event of a significant business disruption. Our plan addresses data backup and recovery, financial and operational assessments, alternative communications, alternate physical locations, regulatory reporting, and client access to funds and securities.
Client accounts managed by BlueRock Asset Management LLC that hold securities are protected by the Securities Investor Protection Corporation (SIPC) up to $500,000, including up to $250,000 for cash claims. SIPC protection does not cover cryptocurrency assets. For more information about SIPC, including obtaining a SIPC brochure, contact SIPC at (202) 371-8300 or visit www.sipc.org.
We make all required regulatory filings and disclosures in a timely manner. These include:
As a registered investment advisor, we are subject to periodic examinations by the SEC and/or state securities authorities. We cooperate fully with all regulatory examinations and provide requested information in a timely manner.
For clients outside the United States, please note that our services may be subject to different or additional regulations in your jurisdiction. We make efforts to comply with applicable laws in all jurisdictions where we offer services, but it is the client's responsibility to ensure that our services are permitted in their jurisdiction.
For regulatory inquiries or to request copies of our regulatory documents, please contact our Compliance Department at:
Email: compliance@bluerockam.com
Phone: +1 (800) 555-0123
Address: 123 Financial District, New York, NY 10005