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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

ROC PARTNERS (US) LLC

CRD 333044

SYDNEY NSW

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:ae3c4970-e3fd-77a6-d25e-aaee6194c1f8

Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2024 to Apr 16, 2026
8 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

Pacific Current Group

schedule ab owner name equals pe organization name · confidence 50%

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $105MItem 5.F on the latest filing (2026-04-16); 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: 2
RAUM per advisor: $52.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 7
Individual clients: 0
High net worth clients: 0
SEC number: 801-131317
CRD: 333044
Filings on the tape: 8
First filed: Sep 18, 2024
Latest filed: Apr 16, 2026
Organised: Limited Liability Company, DE
Website: rocp.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL JOHN LUKIN	Chartered Financial Analyst	Sydney NSW	1	12	n/a	no
Ronald Edward Heinz	n/a	Austin, TX	0	10	1	no

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
LAM, FREWEN	DIRECTOR AND EXECUTIVE	Na	yes	08/2024	Sep 18, 2024	Nov 11, 2024
LUKIN, MICHAEL	CHIEF EXECUTIVE OFFICER	Na	yes	08/2024	Sep 18, 2024	Nov 11, 2024
Mytton, Bradley	DIRECTOR AND EXECUTIVE	Na	yes	08/2024	Sep 18, 2024	Nov 11, 2024
PACIFIC CURRENT GROUP	SOLE SHAREHOLDER	E	yes	08/2024	Sep 18, 2024	Nov 11, 2024
ROC PARTNERS PTY LIMITED	100% SHAREHOLDER OF ROC PARTNERS (US) LLC	E	yes	08/2024	Sep 18, 2024	Nov 11, 2024
TREASURY ROC PTY LIMITED	Shareholder	C	yes	08/2024	Sep 18, 2024	Nov 11, 2024
ZARB, LANCE	MANAGING PARTNER INVESTMENT SERVICES, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Sep 18, 2024	Nov 11, 2024

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
ROC CAPITAL PTY LIMITED	n/a	n/a	n/a	N	yes	n/a
ROC PARTNERS (HK) LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	0	no

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
2025	Apr 16, 2026	$105M	$0	3	2	1	n/a	n/a
2024	Feb 19, 2025	$100M	$0	1	0	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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
2025	$105M	$100M	4.9%	n/a	n/a	3	1	1	1

Relationships

Registered with (2)

← Ronald Edward HeinzAdvisorregistration: current employment
Apr 20, 2026 to presentfactForm ADV
← MICHAEL JOHN LUKINAdvisorregistration: current employment
Nov 18, 2024 to presentfactForm ADV

Controls (7)

← LUKIN, MICHAELOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 18, 2024 to Nov 11, 2024factForm ADV
← ZARB, LANCEOwnerMANAGING PARTNER INVESTMENT SERVICES, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 18, 2024 to Nov 11, 2024factForm ADV
← LAM, FREWENOwnerDIRECTOR AND EXECUTIVE, ownership code NA, individual
Sep 18, 2024 to Nov 11, 2024factForm ADV
← Mytton, BradleyOwnerDIRECTOR AND EXECUTIVE, ownership code NA, individual
Sep 18, 2024 to Nov 11, 2024factForm ADV
← PACIFIC CURRENT GROUPOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Sep 18, 2024 to Nov 11, 2024factForm ADV
← ROC PARTNERS PTY LIMITEDOwner100% SHAREHOLDER OF ROC PARTNERS (US) LLC, ownership code E, foreign entity
Sep 18, 2024 to Nov 11, 2024factForm ADV
← TREASURY ROC PTY LIMITEDOwnerSHAREHOLDER, ownership code C, foreign entity
Sep 18, 2024 to Nov 11, 2024factForm ADV

Dated events

Occurred
Sep 18, 2024
First Form ADV filing
Roc Partners (Us) Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae3c4970-e3fd-77a6-d25e-aaee6194c1f8
First observed: Sep 18, 2024
Last observed: Apr 16, 2026 5 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 PARTNERS (US) LLC

CRD 333044

SYDNEY NSW

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:ae3c4970-e3fd-77a6-d25e-aaee6194c1f8

Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL JOHN LUKIN

Chartered Financial Analyst

Sydney NSW

n/a

Ronald Edward Heinz

n/a

Austin, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAM, FREWEN

DIRECTOR AND EXECUTIVE

yes

08/2024

Sep 18, 2024

Nov 11, 2024

LUKIN, MICHAEL

CHIEF EXECUTIVE OFFICER

yes

08/2024

Sep 18, 2024

Nov 11, 2024

Mytton, Bradley

DIRECTOR AND EXECUTIVE

yes

08/2024

Sep 18, 2024

Nov 11, 2024

PACIFIC CURRENT GROUP

SOLE SHAREHOLDER

yes

08/2024

Sep 18, 2024

Nov 11, 2024

ROC PARTNERS PTY LIMITED

100% SHAREHOLDER OF ROC PARTNERS (US) LLC

yes

08/2024

Sep 18, 2024

Nov 11, 2024

TREASURY ROC PTY LIMITED

Shareholder

yes

08/2024

Sep 18, 2024

Nov 11, 2024

ZARB, LANCE

MANAGING PARTNER INVESTMENT SERVICES, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

08/2024

Sep 18, 2024

Nov 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROC CAPITAL PTY LIMITED

n/a

yes

n/a

ROC PARTNERS (HK) LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 16, 2026

$105M

n/a

2024

Feb 19, 2025

$100M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$105M

$100M

4.9%

n/a