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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

COPPER ROCK CAPITAL PARTNERS

COPPER ROCK CAPITAL PARTNERS LLC, CRD 134176

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:37b26845-62ed-283d-e398-160129deecfc

Data as of Nov 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Nov 12, 2020
26 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.9BItem 5.F on the latest filing (2020-11-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 28
Individual clients: 0
High net worth clients: 0
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.1Bgross asset value as reported per fund; never fund size
SEC number: 801-63900
CRD: 134176
Filings on the tape: 26
First filed: Mar 30, 2012
Latest filed: Nov 12, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
COPPER ROCK INTERNATIONAL SMALL CAP FUND	Other Private Fund	$670M	Nov 12, 2020	58	Mar 30, 2012	reported	021-149045
COPPER ROCK GLOBAL SMALL CAP FUND	Other Private Fund	$390M	Nov 12, 2020	11	Jan 8, 2020	reported	n/a
COPPER ROCK EMERGING MARKETS SMALL CAP EQUITY FUND	Other Private Fund	$77.4M	Nov 12, 2020	14	Jan 8, 2020	reported	n/a
COPPER ROCK SMALL CAP GROWTH FUND	Other Private Fund	$1.1M	Sep 23, 2013	1	Mar 30, 2012	dropped	021-104956

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COPPER ROCK EMPLOYEES L.P.	Member	C	yes	04/2005	Mar 30, 2012	Nov 12, 2020
COPPER ROCK KELP GP LLC	SOLE GENERAL PARTNER	F	yes	06/2014	Jul 24, 2014	Nov 12, 2020
DEXTER, STEPHEN, PATRICK	PRINCIPAL, MANAGER,CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD AND PORTFOLIO MANAGER	Na	yes	01/2009	Mar 30, 2012	Nov 12, 2020
FORRESTER, MICHAEL, ANDREW	LIMITED PARTNER	C	yes	06/2014	Mar 30, 2012	Nov 12, 2020
FORRESTER, MICHAEL, ANDREW	PRINCIPAL, MANAGER, CHIEF EXECUTIVE OFFICER	Na	yes	09/2007	Mar 30, 2012	Nov 12, 2020
SPOUTING ROCK ASSET MANAGEMENT, LLC	LIMITED PARTNER	C	yes	07/2020	Aug 24, 2020	Nov 12, 2020
SPOUTING ROCK ASSET MANAGEMENT, LLC	Member	C	yes	07/2020	Aug 24, 2020	Nov 12, 2020
GATES, JEFFREY, ROBERT	PRINCIPAL AND CHIEF COMPLIANCE OFFICER	Na	no	01/2010	Mar 30, 2012	Nov 12, 2020
SHEA, DAVID, HARRY	PRINCIPAL AND PORTFOLIO MANAGER	Na	no	01/2009	Mar 30, 2012	Nov 12, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SPOUTING ROCK ASSET MANAGEMENT	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 23, 2020	$3.9B	$3.9B	22	9	0	3	$1.1B
2018	Mar 13, 2019	$4.0B	$4.0B	22	9	0	1	$39.5M
2017	Mar 28, 2018	$6.4B	$6.4B	23	9	0	1	$39.5M
2016	Mar 29, 2017	$5.1B	$5.1B	21	7	n/a	1	$39.5M
2015	Mar 30, 2016	$4.7B	$4.7B	20	7	n/a	1	$39.5M
2014	Mar 26, 2015	$3.1B	$3.1B	20	7	n/a	1	$39.5M
2013	Mar 27, 2014	$2.7B	$2.7B	24	11	n/a	1	$39.5M
2012	Feb 25, 2013	$1.8B	$1.8B	23	11	n/a	2	$40.6M
2011	Mar 30, 2012	$1.2B	$1.2B	n/a	n/a	n/a	2	$40.6M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$3.9B	$4.0B	-3.0%	$5.1B	-8.7%	20	22	0	0

Relationships

Advises (4)

→ COPPER ROCK INTERNATIONAL SMALL CAP FUNDPrivate fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ COPPER ROCK GLOBAL SMALL CAP FUNDPrivate fundOther Private Fund, IA
Jan 8, 2020 to presentfactForm ADV
→ COPPER ROCK EMERGING MARKETS SMALL CAP EQUITY FUNDPrivate fundOther Private Fund, IA
Jan 8, 2020 to presentfactForm ADV
→ COPPER ROCK SMALL CAP GROWTH FUNDPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Sep 23, 2013factForm ADV

Owns (2)

← SHEA, DAVID, HARRYOwnerPRINCIPAL AND PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← GATES, JEFFREY, ROBERTOwnerPRINCIPAL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Controls (5)

← DEXTER, STEPHEN, PATRICKOwnerPRINCIPAL, MANAGER,CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD AND PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SPOUTING ROCK ASSET MANAGEMENT, LLCOwnerLIMITED PARTNER, ownership code C, domestic entity
Aug 24, 2020 to presentfactForm ADV
← FORRESTER, MICHAEL, ANDREWOwnerLIMITED PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← COPPER ROCK EMPLOYEES L.P.OwnerMEMBER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← COPPER ROCK KELP GP LLCOwnerSOLE GENERAL PARTNER, ownership code F, domestic entity
Jul 24, 2014 to presentfactForm ADV

Affiliated with (2)

← BRIGHTSPHERE INVESTMENT MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← OLD MUTUAL CAPITALRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Dated events

Occurred
Aug 24, 2020
Control person left
Singh Surender Rana (Manager) no longer on Schedule A of Copper Rock Capital Partners (listed 2020-06-09, absent 2020-08-24)
Form ADVobserved 4 days ago
Occurred
Mar 13, 2019
Regulatory AUM changed
Copper Rock Capital Partners reported RAUM $4.0B, down 38% from $6.4B (2018-03-28 to 2019-03-13)
Form ADVobserved 4 days ago
$-2.4B
Occurred
Mar 13, 2019
Control person joined
S Surender Rana (Manager) appeared on Schedule A of Copper Rock Capital Partners
Form ADVobserved 4 days ago
Occurred
Mar 13, 2019
Control person left
Elizabeth Duval Jennifer Souza (Manager) no longer on Schedule A of Copper Rock Capital Partners (listed 2018-03-28, absent 2019-03-13)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Copper Rock Capital Partners reported RAUM $6.4B, up 26% from $5.1B (2017-03-29 to 2018-03-28)
Form ADVobserved 4 days ago
$1.3B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37b26845-62ed-283d-e398-160129deecfc
First observed: Mar 30, 2012
Last observed: Nov 12, 2020 71 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

COPPER ROCK CAPITAL PARTNERS

COPPER ROCK CAPITAL PARTNERS LLC, CRD 134176

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:37b26845-62ed-283d-e398-160129deecfc

Data as of Nov 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

COPPER ROCK INTERNATIONAL SMALL CAP FUND

Other Private Fund

$670M

Nov 12, 2020

Mar 30, 2012

reported

021-149045

COPPER ROCK GLOBAL SMALL CAP FUND

Other Private Fund

$390M

Nov 12, 2020

Jan 8, 2020

reported

n/a

COPPER ROCK EMERGING MARKETS SMALL CAP EQUITY FUND

Other Private Fund

$77.4M

Nov 12, 2020

Jan 8, 2020

reported

n/a

COPPER ROCK SMALL CAP GROWTH FUND

Other Private Fund

$1.1M

Sep 23, 2013

Mar 30, 2012

dropped

021-104956

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COPPER ROCK EMPLOYEES L.P.

Member

yes

04/2005

Mar 30, 2012

Nov 12, 2020

COPPER ROCK KELP GP LLC

SOLE GENERAL PARTNER

yes

06/2014

Jul 24, 2014

Nov 12, 2020

DEXTER, STEPHEN, PATRICK

PRINCIPAL, MANAGER,CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD AND PORTFOLIO MANAGER

yes

01/2009

Mar 30, 2012

Nov 12, 2020

FORRESTER, MICHAEL, ANDREW

LIMITED PARTNER

yes

06/2014

Mar 30, 2012

Nov 12, 2020

FORRESTER, MICHAEL, ANDREW

PRINCIPAL, MANAGER, CHIEF EXECUTIVE OFFICER

yes

09/2007

Mar 30, 2012

Nov 12, 2020

SPOUTING ROCK ASSET MANAGEMENT, LLC

LIMITED PARTNER

yes

07/2020

Aug 24, 2020

Nov 12, 2020

SPOUTING ROCK ASSET MANAGEMENT, LLC

Member

yes

07/2020

Aug 24, 2020

Nov 12, 2020

GATES, JEFFREY, ROBERT

PRINCIPAL AND CHIEF COMPLIANCE OFFICER

01/2010

Mar 30, 2012

Nov 12, 2020

SHEA, DAVID, HARRY

PRINCIPAL AND PORTFOLIO MANAGER

01/2009

Mar 30, 2012

Nov 12, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SPOUTING ROCK ASSET MANAGEMENT

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 23, 2020

$3.9B

$1.1B

2018

Mar 13, 2019

$4.0B

$39.5M

2017

Mar 28, 2018

$6.4B

$39.5M

2016

Mar 29, 2017

$5.1B

n/a

$39.5M

2015

Mar 30, 2016

$4.7B

n/a

$39.5M

2014

Mar 26, 2015

$3.1B

n/a

$39.5M

2013

Mar 27, 2014

$2.7B

n/a

$39.5M

2012

Feb 25, 2013

$1.8B

n/a

$40.6M

2011

Mar 30, 2012

$1.2B

n/a

$40.6M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$3.9B

$4.0B

-3.0%

$5.1B

-8.7%