Form D · Private Equity Fund

ROC SPV XX LLC

New York, NY · CIK 0001952199

Offering snapshot reported Nov 3, 2022 · SEC filing

Reported sold: $6.43M
Investors reported: 12
Minimum accepted: $0
First sale: Oct 25, 2022

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 3, 2022	Initial	$6,427,233	No comparison	12	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: No
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-463801

Properly registered broker dealers at times will receive a portion of the fees paid to the Investment Manager of the Issuer

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Chardan Capital Markets LLC	120128

Source: Form D, filed Nov 3, 2022. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

ROC SPV XX LLC

Investment adviser: ATW PARTNERS LLC

Gross asset value: $1.44M
Beneficial owners: 12
ADV minimum commitment: $10K

Reported in Form ADV on May 4, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian CAPITAL ONE BANK NEW YORK, New York, United States Related to adviser: No

Custodian EQUITY TRUST COMPANY SIOUX FALLS, South Dakota, United States Related to adviser: No

Custodian WEDBUSH SECURITIES INC. LOS ANGELES, California, United States Related to adviser: No

Custodian WELLS FARGO CLEARING SERVICES, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

WEDBUSH SECURITIES INC.
SEC 8-12987

WELLS FARGO CLEARING SERVICES, LLC
SEC 8-37180

Filing source

Form ADV 2103068 · May 4, 2026 · Schedule D 7.B.(1), fund 805-8474327913

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

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
ROC SPV XIV LLC	Aug 10, 2021	$20,500,000	11
ROC SPV XIX LLC	Jun 24, 2022	$39,000,000	13
ROC SPV XX LLC (this fund)	Nov 3, 2022	$6,427,233	12
ROC SPV XXI LLC	Mar 13, 2023	Yet to sell	0

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
N/A Atw Partners Opportunities Fund Gp Ii, Llc	Executive
N/A Atw Partners Opportunities Management, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

17 State St Suite 2100
New York, NY, 10004