ROC CAPITAL PTY LIMITED
Adviser information for ROC CAPITAL PTY LIMITED last updated from Form ADV on October 2nd, 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 | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Australia |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 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 | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-113949 |
|---|---|
| SEC ERA File Number | 802-113949 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298264 |
| Legal Entity Identifier | None |
Principal Office
LEVEL 411 YOUNG STREET
SYDNEY, NSW
Australia
Monday - Friday, 0900-1700
Tel: 61290991919, Fax: None
Websites
Chief Compliance Officer
LANCE ZARB
MANAGING PARTNER, INVESTMENT SERVICES
LEVEL 4, 11 YOUNG STREET
SYDNEY
Australia
Tel:
61290991919
L*********@*******M
(Full email address available in API data)
Industry Affiliates
| ROC CF GP LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROC II GP LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROC III GP LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROC OF GP LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ROC PARTNERS (HK) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ROC V GP LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROC ASIA PACIFIC PRIVATE EQUITY FUND II, LP | Private Equity Fund | $40.8M | $5.0M | 50 |
| ROC ASIA PACIFIC PRIVATE EQUITY FUND III, LP | Private Equity Fund | $108.7M | $5.0M | 15 |
| ROC ASIA PACIFIC PRIVATE EQUITY FUND IV L.P. | Private Equity Fund | $181.9M | $5.0M | 42 |
| ROC ASIA PACIFIC PRIVATE EQUITY FUND V L.P. | Private Equity Fund | $73.3M | $5.0M | 19 |
| ROC OPPORTUNITY FUND, L.P. | Private Equity Fund | $23.2M | $5.0M | 37 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROC PARTNERS PTY LTD | Foreign Entity | – | 100% SHAREHOLDER OF ROC CAPITAL PTY LIMITED | 05/2014 | > 75% |
| LUKIN, MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2014 | < 5% |
| ZARB, LANCE | Individual | – | CHIEF OPERATING OFFICER | 05/2014 | < 5% |
| TREASURY ROC PTY LIMITED | Foreign Entity | ROC PARTNERS PTY LTD | SHAREHOLDER | 07/2019 | 25-50% |
| PACIFIC CURRENT GROUP LIMITED | Foreign Entity | TREASURY ROC PTY LIMITED | SOLE SHAREHOLDER | 07/2019 | > 75% |
| LAM, FREWEN | Individual | – | DIRECTOR AND EXECUTIVE | 08/2020 | < 5% |
| Mytton, Bradley | Individual | – | EXECUTIVE AND DIRECTOR | 12/2022 | < 5% |