Investment adviser · CRD 152873

ROC CAPITAL MANAGEMENT, L.P.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 28, 2013

Regulatory AUM
$1.18B
Form ADV · Item 5.F
Client accounts
4
Accounts, not individual clients
Employees
12
Reported in this filing
Advisory professionals
7
Investment advisory functions

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ROC CAPITAL PARTNERS MASTER FUND, L.P.Hedge Fund · Last reported Mar 28, 2013$117MGross asset value

Feeder funds

Fund administrator CITCO CANADA INC. TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG NEW YORK, New York, United States
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source
Fund ID
805-2366392213
Reported beneficial owners
20
Minimum commitment
$5M
Form D file number
021-135275
Form D file number
021-135281

Form ADV 715081 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 28, 2013. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

640 5TH AVENUE, 10TH FLOOR
NEW YORK, NY, 10019, United States

CRD 152873

Filing source

Form ADV 715081 · Mar 28, 2013 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.