Bert Thomas Bowler

Employer firm

Round Rock Advisors LLC CRD 286007

$907M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2005 → 04/2017
  Ameriprise Financial Services, Inc.
  New Canaan, CT
• 04/2017 → 10/2023
  Round Rock Advisors Llc
  Wilton, CT
• 04/2017 → 12/2024
  Purshe Kaplan Sterling Investments
  Albany, NY
• 11/2023 → Present
  Round Rock Advisors Llc
  Wilton, CT

Previous Registrations

• 2004-08-23 → 2017-04-24
  Ameriprise Financial Services, Llc
  New Canaan, CT
  Valhalla, NY
  Valhalla, NY
  Valhalla, NY

Other Businesses

1)BUSINESS OWNERSHIP; B.T. BOWLER, LLC; OWNER; The LLC is a passthrough entity to track expenses associated with providing risk management to clients outside of RoundRock Advisors, CT 06897; Wilton, CT 06897; Not Investment Related; April 2010; 1-9 hours per month; 1-9 during trading hours. 2)Licensed Insurance Agent; Not investment-related; Same Business Address; Insurance Sales; Insurance Agent;04/2017; 10 hours per month, all of which are during securities trading hours; Implementations of insurance recommendations.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-12-01
• S63 Uniform Securities Agent State Law Examination
  1994-09-19

Designations

• Certified Financial Planner

Other Names

• B T Bowler