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CRD 152873
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ROC CAPITAL PARTNERS MASTER FUND, L.P. | Hedge Fund | $117M | Mar 28, 2013 | 20 | Mar 29, 2012 | reported | 021-135281 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ASR INVESTMENTS II LLC | LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP | E | yes | 06/2009 | Mar 29, 2012 | Mar 28, 2013 |
| ASR INVESTMENTS LLC | MANAGING MEMBER | E | yes | 06/2009 | Mar 29, 2012 | Mar 28, 2013 |
| BHATIA, AMIT | Owner | D | yes | 12/2010 | Mar 29, 2012 | Mar 28, 2013 |
| BHATIA, VANISHA, MITTAL | Owner | D | yes | 12/2010 | Mar 29, 2012 | Mar 28, 2013 |
| BREE, DAVID, NATHAN | DIRECTOR OF ROC CAPITAL GP I, LTD. | Na | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| DEUTSCHE BANK AG | INDIRECT OWNER | E | yes | 02/2001 | Mar 29, 2012 | Mar 28, 2013 |
| GUILFOYLE, RONAN, AMBROSE | DIRECTOR OF ROC CAPITAL GP I, LTD. | Na | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| RAGHUNATHAN, ARVIND | CHIEF EXECUTIVE OFFICER | Na | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| RAGHUNATHAN, ARVIND | MANAGING MEMBER | E | yes | 07/2008 | Mar 29, 2012 | Mar 28, 2013 |
| RAGHUNATHAN, ARVIND | Manager | E | yes | 06/2009 | Mar 29, 2012 | Mar 28, 2013 |
| RAGHUNATHAN, ARVIND | Member | E | yes | 05/2009 | Mar 29, 2012 | Mar 28, 2013 |
| ROC CAPITAL GROUP MM, LLC | MANAGING MEMBER OF ROC CAPITAL GROUP, LLC | E | yes | 04/2009 | Mar 29, 2012 | Mar 28, 2013 |
| ROC CAPITAL GROUP, LLC | OWNER OF ROC CAPITAL GP I, LTD. | E | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| ROC CAPITAL MANAGEMENT, LLC | GENERAL PARTNER OF ROC CAPITAL MANAGEMENT, LP | Na | yes | 07/2008 | Mar 29, 2012 | Mar 28, 2013 |
| SUNBEAM HOLDINGS LIMITED | Owner | E | yes | 12/2010 | Mar 29, 2012 | Mar 28, 2013 |
| WELLS, SHAWN, T | MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | Na | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| WOLFSON, ROBERT, GARY | CHIEF OPERATING OFFICER | Na | yes | 07/2009 | Mar 29, 2012 | Mar 28, 2013 |
| DBAH CAPITAL LLC | LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP | A | no | 05/2009 | Mar 29, 2012 | Mar 28, 2013 |
| SUNBEAM US HOLDINGS LLC | LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, L.P. | B | no | 01/2011 | Mar 29, 2012 | Mar 28, 2013 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ROC CAPITAL GP I, LTD. | n/a | n/a | n/a | N | yes | n/a |
| ROC CAPITAL GROUP, LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Mar 28, 2013 | $1.2B | $1.2B | 12 | 7 | n/a | 1 | $117M |
| 2011 | Mar 29, 2012 | $1.1B | $1.1B | n/a | n/a | n/a | 1 | $120M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | $1.2B | $1.1B | 6.8% | n/a | n/a | 12 | n/a | n/a | n/a |