Roc Capital Management, L.P. (New York)

Roc Capital Management, L.P. is a large advisory firm based in New York. It manages $1.18 billion of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2011.

Roc Capital Management provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Roc Capital Management: assets under management

The assets under management (AUM) of Roc Capital Management, L.P. is $1.18 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.18 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $294.42 million each.

Roc Capital Management has custody of $8.18 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Roc Capital Management, L.P. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Roc Capital Management, L.P.

Sunbeam Us Holdings Llc joined the executive team most recently as the Limited Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Roc Capital Management	General partner	1 Jul 2008	Other	27-0691930
Llc Roc Capital Group Mm	Managing member of roc capital group, llc	1 Apr 2009	75% - 100%	27-0400090
Dbah Capital Llc	Limited partner	1 May 2009	Other	13-3645372
Asr Investments Ii Llc	Limited partner	1 Jun 2009	75% - 100%	27-1525341
Shawn T Wells	Managing director	1 Jul 2009	Other	5057434
Robert Gary Wolfson	Chief operating officer	1 Jul 2009	Other	1940928
Anupam Ghose	Chief strategic officer	1 Jul 2009	Other	2571306
Arvind Raghunathan	Chief executive officer	1 Jul 2009	Other	2287036
Llc Roc Capital Group	Owner of roc capital gp i, ltd.	1 Jul 2009	75% - 100%	27-0400157
David Nathan Bree	Director of roc capital gp i, ltd.	1 Jul 2009	Other	1357231
Ronan Ambrose Guilfoyle	Director of roc capital gp i, ltd.	1 Jul 2009	Other	6047972
David Andrew Form	Chief compliance officer	1 Dec 2009	Other	5752046
Sunbeam Us Holdings Llc	Limited partner	1 Jan 2011	Other	99-0363171

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank Ag	Indirect owner	1 Feb 2001	75% - 100%	13-2944988
Arvind Raghunathan	Managing member	1 Jul 2008	75% - 100%	2287036
Arvind Raghunathan	Member	1 May 2009	75% - 100%	2287036
Arvind Raghunathan	Manager	1 Jun 2009	75% - 100%	2287036
Asr Investments Llc	Managing member	1 Jun 2009	75% - 100%	27-1525254
Sunbeam Holdings Limited	Owner	1 Dec 2010	75% - 100%	foreign
Vanisha Mittal Bhatia	Owner	1 Dec 2010	50% - 75%	5878218
Amit Bhatia	Owner	1 Dec 2010	50% - 75%	4222058

Based in New York

The principal office where Roc Capital Management, L.P. performs its advisory services is located at 640 5 Th Avenue, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212.607.8333 or by fax 212.246.2690. The normal business hours are 9:00am-5:00pm on Monday - Friday.