# ROC Partners (US) LLC

> ROC Partners (US) LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 25, 2026.

- CRD: 333044
- Filed as: ROC PARTNERS (US) LLC
- Also doing business as: ROC PARTNERS, ROCUS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/333044
- AdvisorCensus page: https://advisorcensus.com/firm/roc-partners-us-llc-new-york-ny-333044

## Quick answers

**How is ROC Partners (US) LLC compensated?**
On its Form ADV (Item 5.E, October 2026), ROC Partners (US) LLC reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is ROC Partners (US) LLC located?**
ROC Partners (US) LLC's principal office is in New York, NY, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is ROC Partners (US) LLC registered with the SEC or a state?**
ROC Partners (US) LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 333044.

**How much does ROC Partners (US) LLC manage?**
ROC Partners (US) LLC reports $121,142,982 in regulatory assets under management in its Form ADV filing dated September 25, 2026 (0% discretionary).

**How have ROC Partners (US) LLC's assets and staff changed since 2025?**
In the Form ADV data for ROC Partners (US) LLC: Regulatory assets under management: $100,449,632 in the October 2025 data and $121,142,982 in the October 2026 data, up 21%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does ROC Partners (US) LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (7).

**Does ROC Partners (US) LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/333044

**What changed in ROC Partners (US) LLC's recent Form ADV filings?**
In the October 2026 filing data: Employees performing advisory functions went from 2 to 1. Regulatory assets under management went from $105,377,101 to $121,142,982 (+15%). No longer lists an office in New York, NY. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- Other

### Regulatory assets under management (Item 5.F)
- Total: $121,142,982
- Discretionary: $0
- Non-discretionary: $121,142,982

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $121,142,982 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Other

### Firm details
- Registered since: 2024 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- New York, NY

### Websites listed on Form ADV (Item 1.I)
- rocp.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $100,449,632 | 1 | February 19, 2025 |
| October 2026 | $121,142,982 | 1 | September 25, 2026 |

Regulatory assets under management: $100,449,632 in the October 2025 data and $121,142,982 in the October 2026 data, up 21%.
Total employees: 1 in October 2025 and 1 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Employees performing advisory functions went from 2 to 1.
- Regulatory assets under management went from $105,377,101 to $121,142,982 (+15%).
- No longer lists an office in New York, NY.
- Updated its list of owners and control persons (Schedule A).

### May 2026
- Registered or notice-filed in TX.

### December 2025
- Employees performing advisory functions went from 0 to 2.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. ROC Partners (US) LLC (CRD 333044): Form ADV filing data as of October 2026.