# ROC360 Advisors LLC

> ROC360 Advisors LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2023, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated April 6, 2026.

- CRD: 326954
- Filed as: ROC360 ADVISORS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: April 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/326954
- AdvisorCensus page: https://advisorcensus.com/firm/roc360-advisors-llc-new-york-ny-326954

## Quick answers

**How is ROC360 Advisors LLC compensated?**
On its Form ADV (Item 5.E, October 2026), ROC360 Advisors LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is ROC360 Advisors LLC located?**
ROC360 Advisors 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 ROC360 Advisors LLC registered with the SEC or a state?**
ROC360 Advisors LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 326954.

**How much does ROC360 Advisors LLC manage?**
ROC360 Advisors LLC reports $1,445,097,551 in regulatory assets under management in its Form ADV filing dated April 6, 2026 (100% discretionary).

**How have ROC360 Advisors LLC's assets and staff changed since 2023?**
In the Form ADV data for ROC360 Advisors LLC: Regulatory assets under management: $274,700,000 in the October 2023 data and $1,445,097,551 in the October 2026 data, up 426%. Total employees: 31 in October 2023 and 41 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does ROC360 Advisors LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (8).

**Does ROC360 Advisors 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/326954

**What changed in ROC360 Advisors LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $907,001,201 to $1,445,097,551 (+59%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees
- Other

### Regulatory assets under management (Item 5.F)
- Total: $1,445,097,551
- Discretionary: $1,445,097,551
- Non-discretionary: $0

### 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) | 8 | $1,445,097,551 |
| 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)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 41 total, 41 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE
- 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
- Madrid

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $274,700,000 | 31 | September 22, 2023 |
| October 2024 | $495,766,538 | 35 | September 24, 2024 |
| October 2025 | $907,001,201 | 41 | March 31, 2025 |
| October 2026 | $1,445,097,551 | 41 | April 6, 2026 |

Regulatory assets under management: $274,700,000 in the October 2023 data and $1,445,097,551 in the October 2026 data, up 426%.
Total employees: 31 in October 2023 and 41 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $907,001,201 to $1,445,097,551 (+59%).
- Updated its list of owners and control persons (Schedule A).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. ROC360 Advisors LLC (CRD 326954): Form ADV filing data as of October 2026.