ROC360 ADVISORS LLC
Adviser information for ROC360 ADVISORS LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 35 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $495.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $495.8M |
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 | 1 | $495.8M |
| 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 feesAFFILIATE ORIGINATION AND VARIOUS SERVICE RELATED FEES. |
Principal Office
645 MADISON AVENUE, FLOOR 19NEW YORK
NY
United States
Monday - Friday, 8-5PM
Tel: 212-607-8333, Fax: None
Chief Compliance Officer
GREGORY MACCORDY
140 E. 45TH STREET, 29TH FLOOR
NEW YORK
NY
United States
Tel:
6462511361
G************@************M
(Full email address available in API data)
Regulatory Contact
ANDREW WHELAN
PRESIDENT
CALLE PRINCIPE DE VERGARA, 112
MADRID
Spain
Tel:
212-607-8333
A************@*********M
(Full email address available in API data)
Industry Affiliates
| ELMSURE LLC | Insurance company or agency |
| REALLY LLC | Real estate broker or dealer |
| ROC360 CAPITAL HOLDING LLC | Sponsor, GP, manager of pooled investment vehicles |
| WIMBA TITLE AGENCY LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MACCORDY, GREGORY, WAYNE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| SONIS, GREGORY, NMN | Individual | – | CHIEF FINANCIAL OFFICER | 05/2023 | < 5% |
| ROC CAPITAL HOLDINGS LLC | Domestic Entity | – | OWNER | 09/2015 | > 75% |
| GLIDEWELL, GAIL, NMN | Individual | – | CHIEF LEGAL OFFICER | 05/2023 | < 5% |
| RAGHUNATHAN, ARVIND, NMN | Individual | ROC CAPITAL HOLDINGS LLC | FOUNDER AND CHIEF EXECUTIVE OFFICER | 09/2015 | > 75% |
| Whelan, Andrew, Michael | Individual | – | PRESIDENT | 05/2023 | < 5% |
| BENNETT, MICHAEL, RAYMOND | Individual | – | CHIEF REVENUE OFFICER | 05/2023 | < 5% |
| ROSSETTI, NICHOLAS, J | Individual | – | PORTFOLIO MANAGER | 05/2023 | < 5% |
| Abramovich, Eric, Zell | Individual | ROC CAPITAL HOLDINGS LLC | OWNER | 09/2015 | |
| STAVINSKY, MAKSIM, NMN | Individual | ROC CAPITAL HOLDINGS LLC | OWNER | 09/2015 |