ROC INVESTMENTS, LLC
CHARACTER BASED INVESTING, LLC Legal Name
Adviser information for ROC INVESTMENTS, LLC last updated from Form ADV on March 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1 | $6.5M |
| Total | 1 | $6.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $6.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUMAS SPONSOR, WILL SHARE IN ETF PROFITS AFTER EXPENSES |
Identifiers
| SEC RIA File Number | 801-123336 |
|---|---|
| SEC ERA File Number | 801-123336 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317275 |
| Legal Entity Identifier | None |
Principal Office
930 SIERRA VISTA DRIVEREDDING
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM PT
Tel: 630-877-2898, Fax: None
Chief Compliance Officer
DANIEL COOPER
MEMBER
930 SIERRA VISTA DRIVE
REDDING
CA
United States
Tel:
630-877-2898
D**@*****************M
(Full email address available in API data)
Industry Affiliates
| BRIDGEWAY CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MONTGOMERY, JOHN, NOLAND RYAN | Individual | BCM SCORP HOLDCO, INC. | DIRECTOR AND CHAIR OF THE BOARD | 12/2020 | 50-75% |
| COOPER, DANIEL, K. | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER, DIRECTOR | 12/2021 | 10-25% |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MANAGING MEMBER | 12/2021 | 50-75% |
| BCM SCORP HOLDCO, INC. | Domestic Entity | BRIDGEWAY CAPITAL MANAGEMENT, LLC | SOLE MEMBER | 12/2020 | > 75% |
| MONTGOMERY, JOHN, NOLAND RYAN | Individual | – | DIRECTOR | 04/2022 | < 5% |
| HALBERT, JON, STAFFORD | Individual | – | DIRECTOR | 04/2022 | < 5% |
| CELESTINE, VON, DEVANTHINI | Individual | – | DIRECTOR | 04/2022 | < 5% |
| DARDEN, THOMAS, FRANCIS | Individual | – | DIRECTOR | 04/2022 | < 5% |
| HALBERT, LINDA | Individual | – | DIRECTOR | 04/2022 | < 5% |
| DAVIS, SHANNON, SEDGWICK | Individual | – | DIRECTOR | 04/2022 | < 5% |
| GARRAMONE, KELLY | Individual | – | DIRECTOR | 04/2022 | < 5% |