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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ROC INVESTMENTS, LLC

CHARACTER BASED INVESTING, LLC, CRD 317275

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:7ba8686c-5a47-aed5-8eb9-9246355322f4

Data as of Mar 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 15
On other graphs: 0
Observed: Oct 22, 2021 to Mar 22, 2023
7 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: $6.5MItem 5.F on the latest filing (2023-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-123336
CRD: 317275
Filings on the tape: 7
First filed: Oct 22, 2021
Latest filed: Mar 22, 2023
Organised: Limited Liability Company, Delaware

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
BCM SCORP HOLDCO, INC.	SOLE MEMBER	E	yes	12/2020	Jan 12, 2022	Mar 22, 2023
BRIDGEWAY CAPITAL MANAGEMENT, LLC	MANAGING MEMBER	D	yes	12/2021	Jan 12, 2022	Mar 22, 2023
CELESTINE, VON, DEVANTHINI	Director	Na	yes	04/2022	May 10, 2022	Mar 22, 2023
COOPER, DANIEL, K.	MEMBER, CHIEF COMPLIANCE OFFICER, DIRECTOR	B	yes	12/2021	Oct 22, 2021	Mar 22, 2023
DARDEN, THOMAS, FRANCIS	Director	Na	yes	04/2022	Oct 22, 2021	Mar 22, 2023
DAVIS, SHANNON, SEDGWICK	Director	Na	yes	04/2022	May 10, 2022	Mar 22, 2023
GARRAMONE, KELLY	Director	Na	yes	04/2022	May 10, 2022	Mar 22, 2023
HALBERT, JON, STAFFORD	Director	Na	yes	04/2022	Oct 22, 2021	Mar 22, 2023
HALBERT, LINDA	Director	Na	yes	04/2022	May 10, 2022	Mar 22, 2023
MONTGOMERY, JOHN, NOLAND RYAN	Director	Na	yes	04/2022	Oct 22, 2021	Mar 22, 2023
MONTGOMERY, JOHN, NOLAND RYAN	DIRECTOR AND CHAIR OF THE BOARD	D	yes	12/2020	Oct 22, 2021	Mar 22, 2023

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
BRIDGEWAY CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$4.3B	Y	no	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
2022	Mar 22, 2023	$6.5M	$0	2	2	0	n/a	n/a

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
2022	$6.5M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Affiliated with (1)

→ BRIDGEWAY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV

Controls (10)

← BRIDGEWAY CAPITAL MANAGEMENT, LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Jan 12, 2022 to presentfactForm ADV
← HALBERT, JON, STAFFORDOwnerDIRECTOR, ownership code NA, individual
Oct 22, 2021 to presentfactForm ADV
← MONTGOMERY, JOHN, NOLAND RYANOwnerDIRECTOR AND CHAIR OF THE BOARD, ownership code D, individual
Oct 22, 2021 to presentfactForm ADV
← CELESTINE, VON, DEVANTHINIOwnerDIRECTOR, ownership code NA, individual
May 10, 2022 to presentfactForm ADV
← DARDEN, THOMAS, FRANCISOwnerDIRECTOR, ownership code NA, individual
Oct 22, 2021 to presentfactForm ADV
← COOPER, DANIEL, K.OwnerMEMBER, CHIEF COMPLIANCE OFFICER, DIRECTOR, ownership code B, individual
Oct 22, 2021 to presentfactForm ADV
← HALBERT, LINDAOwnerDIRECTOR, ownership code NA, individual
May 10, 2022 to presentfactForm ADV
← DAVIS, SHANNON, SEDGWICKOwnerDIRECTOR, ownership code NA, individual
May 10, 2022 to presentfactForm ADV
← GARRAMONE, KELLYOwnerDIRECTOR, ownership code NA, individual
May 10, 2022 to presentfactForm ADV
← BCM SCORP HOLDCO, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Jan 12, 2022 to presentfactForm ADV

Dated events

Occurred
May 10, 2022
Control person joined
Stafford Jon Halbert (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Control person joined
Devanthini Von Celestine (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Control person joined
Francis Thomas Darden (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Control person joined
Linda Halbert (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Control person joined
Sedgwick Shannon Davis (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2022
Control person joined
Kelly Garramone (Director) appeared on Schedule A of Roc Investments, Llc
Form ADVobserved 5 days ago
Occurred
Jan 27, 2022
First Form ADV filing
Roc Investments, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Stafford Jon Halbert (Member) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Scott Friesen (Member) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Thomas Rinks (Member) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Michael James Johnston (Member) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Bradley Scott Schaefer (Trustee) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Francis Thomas Darden (Trustee) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Davis Robert Darden (Trustee) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago
Occurred
Jan 12, 2022
Control person left
Anthony John Mazzarino (Trustee) no longer on Schedule A of Roc Investments, Llc (listed 2021-10-22, absent 2022-01-12)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ba8686c-5a47-aed5-8eb9-9246355322f4
First observed: Oct 22, 2021
Last observed: Mar 22, 2023 42 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.

ROC INVESTMENTS, LLC

CHARACTER BASED INVESTING, LLC, CRD 317275

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:7ba8686c-5a47-aed5-8eb9-9246355322f4

Data as of Mar 22, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BCM SCORP HOLDCO, INC.

SOLE MEMBER

yes

12/2020

Jan 12, 2022

Mar 22, 2023

BRIDGEWAY CAPITAL MANAGEMENT, LLC

MANAGING MEMBER

yes

12/2021

Jan 12, 2022

Mar 22, 2023

CELESTINE, VON, DEVANTHINI

Director

yes

04/2022

May 10, 2022

Mar 22, 2023

COOPER, DANIEL, K.

MEMBER, CHIEF COMPLIANCE OFFICER, DIRECTOR

yes

12/2021

Oct 22, 2021

Mar 22, 2023

DARDEN, THOMAS, FRANCIS

Director

yes

04/2022

Oct 22, 2021

Mar 22, 2023

DAVIS, SHANNON, SEDGWICK

Director

yes

04/2022

May 10, 2022

Mar 22, 2023

GARRAMONE, KELLY

Director

yes

04/2022

May 10, 2022

Mar 22, 2023

HALBERT, JON, STAFFORD

Director

yes

04/2022

Oct 22, 2021

Mar 22, 2023

HALBERT, LINDA

Director

yes

04/2022

May 10, 2022

Mar 22, 2023

MONTGOMERY, JOHN, NOLAND RYAN

Director

yes

04/2022

Oct 22, 2021

Mar 22, 2023

MONTGOMERY, JOHN, NOLAND RYAN

DIRECTOR AND CHAIR OF THE BOARD

yes

12/2020

Oct 22, 2021

Mar 22, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRIDGEWAY CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$4.3B

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 22, 2023

$6.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$6.5M

n/a