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

Roc Capital Managment, L.P. is a large advisory firm based in New York. It manages $3.53 billion of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2010.

Roc Capital Managment provides portfolio management for pooled investment vehicles and market timing services. 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 Managment: assets under management

The assets under management (AUM) of Roc Capital Managment, L.P. is $3.53 billion, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $3.53 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.18 billion each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Roc Capital Managment, L.P. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Roc Capital Managment, L.P.

David Andrew Form joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Roc Capital Management	General partner	1 Jul 2008	Other	27-0691930
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	General counsel	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
David Andrew Form	Chief compliance officer	1 Dec 2009	Other	5752046

Indirect Owners

The SEC currently registers 3 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

Based in New York

The principal office where Roc Capital Managment, 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.