{
  "crd_number": 298264,
  "slug": "roc-capital-pty-limited-sydney-nsw-298264",
  "primary_business_name": "ROC CAPITAL PTY LIMITED",
  "legal_name": "ROC CAPITAL PTY LIMITED",
  "dbas": [],
  "city": "Sydney, Nsw",
  "state": null,
  "country": "Australia",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "exempt",
  "registration_status": "ERA - Active",
  "registration_date": "2018-08-08",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-09-25",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": null,
  "advisory_employees": null,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [],
  "advisory_activities": [],
  "wrap_fee_participant": null,
  "disclosure_yes_count": 0,
  "states_registered": [],
  "websites": [
    "https://rocp.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298264",
  "city_as_filed": "SYDNEY, NSW",
  "url": "https://advisorcensus.com/firm/roc-capital-pty-limited-sydney-nsw-298264",
  "display_name": "ROC Capital Pty Limited",
  "summary": "ROC Capital Pty Limited is an exempt reporting adviser in Sydney, Nsw, Australia, filing reports since 2018. Exempt reporting advisers do not report regulatory assets under management on Form ADV.",
  "citation": "AdvisorCensus. ROC Capital Pty Limited (CRD 298264): Form ADV filing data as of October 2026.",
  "registration_type_label": "Exempt reporting adviser",
  "compensation_labels": [],
  "advisory_activity_labels": [],
  "quick_answers": [
    {
      "q": "Where is ROC Capital Pty Limited located?",
      "a": "ROC Capital Pty Limited's principal office is in Sydney, Nsw, Australia, according to its Form ADV."
    },
    {
      "q": "How does ROC Capital Pty Limited report to regulators?",
      "a": "ROC Capital Pty Limited is an exempt reporting adviser, filing reports since 2018. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 298264."
    },
    {
      "q": "Does ROC Capital Pty Limited report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/298264"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2021-06-11"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2021-11-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2023-10-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2026-09-25"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/roc-capital-pty-limited-sydney-nsw-298264.md",
  "clients": [],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298264",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}