{ "crd_number": 283335, "slug": "silver-rock-financial-lp-los-angeles-ca-283335", "primary_business_name": "SILVER ROCK FINANCIAL LP", "legal_name": "SILVER ROCK FINANCIAL LP", "dbas": [], "city": "Los Angeles", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2016-03-25", "years_registered": 10, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 5381022632.0, "raum_discretionary": 5381022632.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 31, "advisory_employees": 16, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 66266003.0, "count": null, "description": "INVESTMENT VEHICLE FOR TRUST", "fewer_than_5": true }, "charitable": { "raum": 9186016.0, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": 125508044.0, "count": null, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 4493804354.0, "count": 28 }, "corporations_other_businesses": { "raum": 686258215.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "other", "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA" ], "websites": [ "https://silver-rock.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/283335", "city_as_filed": "LOS ANGELES", "url": "https://advisorcensus.com/firm/silver-rock-financial-lp-los-angeles-ca-283335", "display_name": "Silver Rock Financial LP", "summary": "Silver Rock Financial LP is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2016, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Silver Rock Financial LP (CRD 283335): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Other" ], "quick_answers": [ { "q": "How is Silver Rock Financial LP compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Silver Rock Financial LP reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Silver Rock Financial LP located?", "a": "Silver Rock Financial LP's principal office is in Los Angeles, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Silver Rock Financial LP registered with the SEC or a state?", "a": "Silver Rock Financial LP is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 283335." }, { "q": "How much does Silver Rock Financial LP manage?", "a": "Silver Rock Financial LP reports $5,381,022,632 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Silver Rock Financial LP's assets and staff changed since 2021?", "a": "In the Form ADV data for Silver Rock Financial LP: Regulatory assets under management: $3,577,892,823 in the October 2021 data and $5,381,022,632 in the October 2026 data, up 50%. Total employees: 29 in October 2021 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Silver Rock Financial LP serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (28)." }, { "q": "Which custodians does Silver Rock Financial LP use?", "a": "Silver Rock Financial LP's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC and Northern Trust Securities, Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Silver Rock Financial LP report any disciplinary disclosures?", "a": "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/283335" }, { "q": "What changed in Silver Rock Financial LP's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $11,575,060,894 to $5,381,022,632 (-54%). Employees performing advisory functions went from 22 to 16." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3577892823.0, "total_employees": 29, "filing_date": "2021-08-25" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4427692917.0, "total_employees": 28, "filing_date": "2022-05-26" }, { "period": "2023-10-01", "regulatory_assets_under_management": 7691622379.0, "total_employees": 33, "filing_date": "2023-09-12" }, { "period": "2024-10-01", "regulatory_assets_under_management": 8088441207.0, "total_employees": 37, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 11575060894.0, "total_employees": 43, "filing_date": "2025-05-22" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5381022632.0, "total_employees": 31, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $11,575,060,894 to $5,381,022,632 (-54%).", "Employees performing advisory functions went from 22 to 16." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "J.P. Morgan Securities LLC", "name_as_filed": "J.P. MORGAN SECURITIES LLC", "affiliated": false }, { "name": "Northern Trust Securities, Inc.", "name_as_filed": "NORTHERN TRUST SECURITIES, INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/silver-rock-financial-lp-los-angeles-ca-283335.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 28, "fewer_than_5": false, "raum": 4493804354.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 9186016.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 125508044.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 686258215.0 }, { "type": "other", "label": "Other", "count": null, "fewer_than_5": true, "raum": 66266003.0 } ], "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/283335", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }