Roc Partners (US) LLC
Registered investment adviser · Sydney Nsw · CRD #333044
Form ADV data as of 2026-09-01Regulatory assets
$105.4 million
Total accounts
7
Employees
3
Disclosure events
0
Firm details
- Website: https://www.rocp.com/
- Telephone: 61290991900
- SEC file number: 801-131317
- Most recent Form ADV filing: 2026-04-16
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $105.4 million |
| Total regulatory assets under management | $105.4 million |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 7 |
| Total accounts | 7 |
| Regulatory assets under management attributable to non-U.S. persons | $105.4 million |
People
| Total employees (excluding clerical) | 3 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 2 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pooled investment vehicles (other than investment companies and BDCs) | 7 | $105.4 million |