Investment adviser · CRD 120451

ROCATON INVESTMENT ADVISORS

Investment adviser filing (IA)

ROCATON INVESTMENT ADVISORS, LLC

NORWALK, CT, United States · Form ADV filed Apr 12, 2024

Regulatory AUM
$13B
Form ADV · Item 5.F
Client accounts
128
Accounts, not individual clients
Employees
23
Reported in this filing
Advisory professionals
20
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Retirement plans13$12,105,421,17793.3%
Charities5$616,161,8344.7%
Corporations & businesses15$256,667,0052.0%
IndividualsFewer than 5$00.0%
High-net-worth individualsFewer than 5$00.0%
Banks & thriftsFewer than 5$00.0%
Government entitiesFewer than 5$00.0%
Other investment advisersFewer than 5$00.0%
Insurance companiesFewer than 5$00.0%
Sovereign wealth & foreign institutionsFewer than 5$00.0%
Filing source

Form ADV 1865714 · Apr 12, 2024 · Item 5.D

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

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.

ROCATON ABSOLUTE RETURN PARTNERS, LLCHedge Fund · Last reported Mar 30, 2016$125KGross asset value
Auditor O'CONNER DAVIES, LLP STAMFORD, Connecticut, United States
Custodian SOVEREIGN BANK NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-9240175886
Reported beneficial owners
11
Minimum commitment
$5K

Form ADV 997682 · Mar 30, 2016 · 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: Apr 12, 2024. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting · Selection of other advisers · Publication of newsletters · Educational seminars

Compensation

Percentage of assets · Fixed

Principal office

20 GLOVER AVENUE
NORWALK, CT, 06850, United States

CRD 120451

Filing source

Form ADV 1865714 · Apr 12, 2024 · 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.