|
⚲
|
| Keyboard |
| ROC360 Advisors LLC
✚
|
|
|---|---|
| CRD # | 326954 |
| SEC # | 801-128209 |
| CIK # | 0000326954 |
| AUM | 1,445.1 M (2026-04-06) |
| Employees | 41 (100% Investors, 0% Brokers) |
| Phone | 332-213-9476 |
| Address | 645 Madison Avenue, Floor 19 New York, NY 10022 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| Other | ROC360 Feeder III-A LLC | [2025-03-31] | 51.1 M | 64.7 M |
| Filed 2024-07-03 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ROC360 Feeder III-B LP | [2025-03-31] | 50.0 M | 60.7 M |
| Filed 2024-07-03 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $1,251,307 · Net Assets Decline to Disclose | ||||
| Other | ROC360 Feeder II LP | [2025-03-31] | 68.6 M | |
| Offered $66,000,000 · Filed 2024-07-03 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $880,000 · Remaining $66,000,000 · Duration One year or less · Commission $13,200,000 · Net Assets Decline to Disclose | ||||
| Other | ROC360 Feeder I LLC | [2025-03-31] | 165.0 M | 85.2 M |
| Filed 2023-08-23 (D) · Exemption 506(b) · Remaining Indefinite · Duration More than one year · Commission $1,500,000 · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 8 | 1,445.1 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 8 | 1,445.1 |
| By Discretionary | ||
| Discretionary | 8 | 1,445.1 |
| Non-Discretionary | 0 | 0.0 |
| Total | 8 | 1,445.1 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 1,445.1 | |
| Total | 8 | 1,445.1 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Tom Rosenfeld | Executive Officer | 28 | 2 | |
| ROC360 Feeder Manager LLC | Executive Officer | 4 | 2 | |
| Delaware Limited Liability Company Canam Northeast Regional Center LLC | Promoter | 3 | 2 | |
| Delaware Limited Liability Company Canam NE GP III LLC | Executive Officer | 1 | 1 |
| Firm Profile (Form ADV) | |
|---|---|
| Serves | Institutional |
| Comparable Firms | State | AUM |
|---|---|---|
|
Nebrodi Partners LLC
✚
|
CT | 1,479.0 M |
|
Vantage Infrastructure USA Inc
✚
|
NY | 1,467.1 M |
|
KKR Registered Advisor LLC
✚
|
NY | 1,456.6 M |
|
TEMA ETFS LLC
✚
|
NY | 1,456.0 M |
|
Electra Capital Advisors LLC
✚
|
PA | 1,453.8 M |
|
Ironshore Financial LLC
✚
|
1,436.9 M | |
|
Sentry Investment Management LLC
✚
|
WI | 1,434.0 M |
|
Truemark Investments LLC
✚
|
IL | 1,419.4 M |
|
Finser Investment Advisor
✚
|
TX | 1,416.9 M |
|
Leader Capital Corp
✚
|
WA | 1,410.2 M |