ROCKWOOD EQUITY PARTNERS LLC
Adviser information for ROCKWOOD EQUITY PARTNERS LLC last updated from Form ADV on March 29th, 2024. 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 | New York, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| 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 | 5 | $160.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $160.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $160.0M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126003 |
|---|---|
| SEC ERA File Number | 801-126003 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163846 |
| Legal Entity Identifier | None |
Principal Office
200 COLUMBINE STREETSTE 240
DENVER
CO
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 216-342-1790, Fax: 216-342-1799
Chief Compliance Officer
H. JOSEF MERRILL
MANAGING DIRECTOR
200 COLUMBINE STREET
STE 240
DENVER
CO
United States
Tel:
216-342-1792
J*******@*****************M
(Full email address available in API data)
Industry Affiliates
| ROCKWOOD GP I LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROCKWOOD GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROCKWOOD GP IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROCKWOOD EQUITY PARTNERS III-A, LP | Private Equity Fund | $5.8M | $0.1M | 17 |
| ROCKWOOD EQUITY PARTNERS III, LP | Private Equity Fund | $21.1M | $0.1M | 60 |
| ROCKWOOD EQUITY PARTNERS IV-A, LP | Private Equity Fund | $13.1M | $0.2M | 12 |
| ROCKWOOD EQUITY PARTNERS IV, LP | Private Equity Fund | $109.0M | $0.1M | 91 |
| ROCKWOOD EQUITY PARTNERSHIP FUND LP | Private Equity Fund | $11.0M | $0.1M | 69 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KEITH, BRETT, R | Individual | – | MANAGING DIRECTOR | 05/2007 | 50-75% |
| MERRILL, H, JOSEF | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 12/2012 | 25-50% |