Rootstock Investment Management, LLC (“Rootstock”) was founded in 2013 as an investment
and wealth management firm that focuses on high net worth individuals and various non-profit
organizations. Gregory Simpson, CFA is the Principal Owner of the company and Director of
Operations and Compliance.
Rootstock’s mission is to provide conflict-free investment advice and comprehensive planning
services to high net worth families and non-profit organizations. We believe that the elimination of
conflicts of interest is paramount to the success of our clients and provides a higher level of trust
throughout the client/advisor relationship. Within this framework, we provide 100% objective,
unbiased advice regarding a clients’ investment portfolio, mortgage and lending relationships,
banking services, insurance solutions, tax and estate planning advice or any relevant product or
service(s). Rootstock is an organization that places great emphasis on partnering with our clients
and delivering superior investment and wealth management results.
Wealth Management. Rootstock provides investment advisory and wealth management services
to individuals and related entities, including family trusts, family offices, foundations,
corporations, and business entities. Rootstock’s financial professionals work closely with clients
and their relationship team to develop a comprehensive wealth management strategy, focusing on
the key areas of wealth creation and protection (investment returns, fees, taxes, turnover and risk).
Client investment portfolios reflect the integration of Rootstock’s financial market outlook, the
client’s income and spending needs, tax and estate planning objectives and other unique client
preferences. Services provided to these advisory clients include identifying investment objectives
and risk tolerance, developing and documenting asset allocation, investment policy
and
investment strategy, implementing the investment strategy, performing regular administration,
monitoring and reporting of financial assets and performing due diligence on traditional, hedge
and alternative fund managers. Investment advisory and wealth management services are based
on the Investment Advisory Agreement ("IAA") entered by an advisory client and Rootstock.
Family Office. For some clients, Rootstock provides “family office” services, which include the
organization of the client’s financial life, including bill payment, bookkeeping, document
management and coordination of tax and investment matters.
If you request, Rootstock may recommend the services of other professionals for implementation
purposes. You are under no obligation to engage the services of any such recommended
professional. You retain the absolute discretion over all such implementation decisions and are free
to accept or reject any recommendations from Rootstock. If you engage any professional
recommended by Rootstock, and a dispute arises thereafter relative to such engagement, you agree
to seek recourse exclusively from and against the engaged professional.
Retirement Accounts. When Rootstock provides investment advice to you regarding your
retirement plan account or individual retirement account, Rootstock is a fiduciary within the
meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue
Code, as applicable, which are laws governing retirement accounts. The way Rootstock makes
money creates some conflicts with your interests, so Rootstock operates under a special rule that
requires Rootstock to act in your best interest and not put Rootstock’s interest ahead of yours.
Assets Under Management. As of 12/31/2023, Rootstock has a total of $495,865,179 of assets under
management, of which $98,618,548 is managed on a non-discretionary basis.