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ROCATON INVESTMENT ADVISORS, LLC, CRD 120451
NORWALK, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ROCATON ABSOLUTE RETURN PARTNERS, LLC | Hedge Fund | $125,000 | Mar 30, 2016 | 11 | Mar 26, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Bousquette, William, CHARLES | CHIEF OPERATING OFFICER | Na | yes | 01/2024 | Jan 30, 2024 | Apr 12, 2024 |
| GSAM HOLDINGS LLC | GENERAL PARTNER | E | yes | 04/2019 | Apr 26, 2019 | Apr 12, 2024 |
| NACHMANN, MARC, OTTO | CHIEF EXECUTIVE OFFCER | Na | yes | 01/2023 | Feb 9, 2023 | Apr 12, 2024 |
| THE GOLDMAN SACHS GROUP, INC. | Member | E | yes | 04/1997 | Apr 26, 2019 | Apr 12, 2024 |
| METZGER, ELISA, DOUGHERTY | CHIEF COMPLIANCE OFFICER | Na | no | 07/2012 | Mar 26, 2012 | Apr 12, 2024 |
| PLUTZER, DAVID, SETH | CHIEF LEGAL OFFCER | Na | no | 01/2021 | Jan 11, 2021 | Apr 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GOLDMAN SACHS ASSET MANAGEMENT, L.P. | n/a | Other adviser | $2649B | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL | n/a | Asset manager | $621B | N | yes | n/a |
| GOLDMAN SACHS & CO. LLC | n/a | Wirehouse | $134B | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. | n/a | Asset manager | $72B | N | yes | n/a |
| GSAM STABLE VALUE, LLC | n/a | Former SEC adviser | $55B | N | yes | n/a |
| THE AYCO COMPANY, L.P. | n/a | Bd affiliated wealth | $32B | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED | n/a | Institutional manager | $21B | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | n/a | Other adviser | $14B | N | yes | n/a |
| GOLDMAN SACHS HEDGE FUND STRATEGIES LLC | n/a | Former SEC adviser | $11B | N | yes | n/a |
| APTITUDE INVESTMENT MANAGEMENT LP | n/a | Former SEC adviser | $6.1B | N | yes | n/a |
| AC RES ADVISORS, L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| APTITUDE PARTNERS FUND GP LLC | n/a | n/a | n/a | N | yes | n/a |
| ARROW REINSURANCE COMPANY, LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ASL ACCESS ADVISORS LLC | n/a | n/a | n/a | N | yes | n/a |
| BATTERY VENTURES OPPORTUNITIES ACCESS OFFSHORE LP | n/a | n/a | n/a | N | yes | n/a |
| BROAD STREET LOAN PARTNERS IV UNLEVERED ADVISORS, S.A R.L. | n/a | n/a | n/a | N | yes | n/a |
| BROAD STREET PARTNERS LUX GP, S.A R.L. | n/a | n/a | n/a | N | yes | n/a |
| BROAD STREET SENIOR CREDIT PARTNERS ADVISOR, L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| BROAD STREET SENIOR CREDIT PARTNERS II ADVISOR, L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| BROAD STREET SENIOR CREDIT PARTNERS OFFSHORE ADVISOR, LTD. | n/a | n/a | n/a | N | yes | n/a |
| CLLF ADVISORS LLC | n/a | n/a | n/a | N | yes | n/a |
| CO-INVEST AGGREGATOR GP LTD | n/a | n/a | n/a | N | yes | n/a |
| DST OPPORTUNITIES II ACCESS LLC | n/a | n/a | n/a | N | yes | n/a |
| FOLIO INVESTMENTS, INC. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (ASIA) FINANCE | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (ASIA) L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (CHINA) L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS (SINGAPORE) PTE. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ACCESS FUNDS GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ALTERNATIVE ASSETS S.A R.L | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT B.V. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT BELGIUM S.A. | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS ASSET MANAGEMENT SCHWEIZ GMBH | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS AUSTRALIA PTY LTD | n/a | n/a | n/a | N | yes | n/a |
| GOLDMAN SACHS BANK AG | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Southburough | Ma | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 28, 2024 | $13B | $13B | 23 | 20 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $12B | $12B | 31 | 25 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $13B | $13B | 41 | 32 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $14B | $14B | 31 | 27 | 0 | n/a | n/a |
| 2019 | Mar 28, 2020 | $14B | $14B | 37 | 32 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $12B | $12B | 65 | 53 | 0 | n/a | n/a |
| 2017 | Mar 30, 2018 | $9.9B | $9.9B | 65 | 55 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $9.2B | $9.2B | 62 | 53 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $7.2B | $7.2B | 61 | 51 | n/a | 1 | $125,000 |
| 2014 | Mar 25, 2015 | $5.4B | $5.4B | 59 | 42 | n/a | 1 | $243,550 |
| 2013 | Mar 31, 2014 | $5.2B | $5.2B | 50 | 33 | n/a | 1 | $245,000 |
| 2012 | Mar 26, 2013 | $2.0B | $2.0B | 50 | 35 | n/a | 1 | $632,000 |
| 2011 | Mar 26, 2012 | $520M | $520M | n/a | n/a | n/a | 1 | $1.0M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $13B | $12B | 4.7% | $14B | -3.3% | 23 | 31 | 1 | 1 |