ROCK ISLAND CAPITAL
ROCK ISLAND CAPITAL, LLC Legal Name
Adviser information for ROCK ISLAND CAPITAL last updated from Form ADV on March 26th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 15 | $590.9M |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $590.9M |
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 | 15 | $590.9M |
| 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 vehiclesPORTFOLIO COMPANY MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based feesSEE SCHEDULE D - MISCELLANEOUS |
Identifiers
| SEC RIA File Number | 801-76979 |
|---|---|
| SEC ERA File Number | 801-76979 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161623 |
| Legal Entity Identifier | None |
Principal Office
1415 W 22ND STREETSUITE 1250
OAK BROOK
IL
United States
Monday - Friday, 9:00-5:00
Tel: 630-413-9136, Fax: 630-574-0213
Chief Compliance Officer
ZOFIA MIETUS
CHIEF FINANCIAL OFFICER
1415 W 22ND STREET
SUITE 1250
OAK BROOK
IL
United States
Tel:
630-413-9137
Fax:
630-574-0213
M*****@********************M
(Full email address available in API data)
Regulatory Contact
MICHAEL NUGENT
PARTNER
1415 W 22ND STREET
SUITE 1250
OAK BROOK
IL
United States
Tel:
630-413-9147
Fax:
630-574-0213
N*****@********************M
(Full email address available in API data)
Industry Affiliates
| RIC GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIC GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIC GP IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIP GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 5LOOP, LLC | Private Equity Fund | $21.9M | $0.0M | 7 |
| RIC BAKER, LLC | Private Equity Fund | $0.3M | $0.0M | 3 |
| RIC CENTRAL INVESTOR, LLC | Private Equity Fund | $70.2M | $0.0M | 8 |
| RIC STEEL, LLC | Private Equity Fund | $17.9M | $0.2M | 4 |
| RIC-DGS, LLC | Private Equity Fund | $3.7M | $0.0M | 5 |
| RIC-KEMCO, LLC | Private Equity Fund | $2.8M | $0.0M | 5 |
| RIC-SUPERIOR HOLDINGS LLC | Private Equity Fund | $26.5M | $0.8M | 5 |
| ROCK ISLAND CAPITAL FUND I, L.P. | Private Equity Fund | $21.0M | $0.3M | 101 |
| ROCK ISLAND CAPITAL FUND II, L.P. | Private Equity Fund | $97.0M | $0.5M | 81 |
| ROCK ISLAND CAPITAL FUND III-A, L.P. | Private Equity Fund | $32.3M | $0.5M | 4 |
| ROCK ISLAND CAPITAL FUND III, L.P. | Private Equity Fund | $176.4M | $0.5M | 100 |
| ROCK ISLAND CAPITAL FUND IV-A, L.P. | Private Equity Fund | $30.7M | $0.5M | 2 |
| ROCK ISLAND CAPITAL FUND IV-X, L.P. | Private Equity Fund | $1.3M | $0.5M | 8 |
| ROCK ISLAND CAPITAL FUND IV, L.P. | Private Equity Fund | $205.9M | $0.5M | 87 |
| ROCK ISLAND CAPITAL Q FUND I, L.P. | Private Equity Fund | $4.1M | $0.3M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MATTALIANO, ALFRED, MICHAEL | Individual | – | PARTNER, MANAGING MEMBER | 12/2005 | 25-50% |
| NUGENT, MICHAEL, EDWARD | Individual | – | PARTNER, MANAGING MEMBER | 12/2005 | 25-50% |
| MIETUS, ZOFIA, NMN | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 10/2013 | < 5% |
| BASTEDO, BRIAN, EUGENE | Individual | – | PARTNER, MANAGING MEMBER | 01/2019 | 10-25% |
| ALPORT, DANIEL, KEVIN | Individual | – | PARTNER, MANAGING MEMBER | 01/2023 | 5-10% |