DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Copper Rock Capital Partners

Former SEC-registered adviserBoston, MassachusettsCRD 134176SEC 801-63900IAPD
Legal name Copper Rock Capital Partners LLC
Latest filing Nov 12, 2020
First filing on the tape Mar 30, 2012 · 26 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.1B gross assets
History
26 filings and snapshots on the tape
RAUM$3.9B as of Mar 23, 2020
Mar 30, 2012$1.2B then
HNW client RAUM$0 as of Mar 23, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Feb 25, 20130 then
Employees (5.A)22 as of Mar 23, 2020
Feb 25, 201323 then
Private funds3 as of Mar 23, 2020
Mar 30, 20122 then
RAUM -3.0% over the last fiscal year-8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 12, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$139MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$2.0B51%
  • Investment companies$679M18%
  • State and municipal entities$676M17%
  • Pooled investment vehicles$565M15%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
14reported
Charitable clients
0reported
Accounts
28reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Copper Rock International Small Cap FundOther Private Fund$670M58Mar 30, 2012
      Copper Rock Global Small Cap FundOther Private Fund$390M11Jan 8, 2020
      Copper Rock Emerging Markets Small Cap Equity FundOther Private Fund$77.4M14Jan 8, 2020
      Copper Rock Small Cap Growth Fundno longer reportedOther Private Fund$1.1M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Patrick Stephen Dexter · Principal, Manager,Chief Investment Officer, Chairman Of The Board And Portfolio Managercontrol
        since 01/2009 · owns less than 5%
      • Andrew Michael Forrester · Principal, Manager, Chief Executive Officercontrol
        since 09/2007 · owns less than 5%
      • Andrew Michael Forrester · Limited Partnercontrol
        since 06/2014 · owns 25% to 50% of Copper Rock Employees L.P.
      • Robert Jeffrey Gates · Principal And Chief Compliance Officer
        since 01/2010 · owns less than 5%
      • Harry David Shea · Principal And Portfolio Manager
        since 01/2009 · owns less than 5%
      Entity owners
      • Copper Rock Employees L.P. · Member
        direct · owns 25% to 50%
      • Spouting Rock Asset Management, LLC · Member
        direct · owns 25% to 50% · public reporting company
      • Copper Rock Kelp Gp LLC · Sole General Partner
        indirect · owns F of Copper Rock Employees L.P.
      • Spouting Rock Asset Management, LLC · Limited Partner
        indirect · owns 25% to 50% of Copper Rock Employees L.P. · public reporting company
      Related persons
      Schedule D 7.A
      • Spouting Rock Asset Management
        n
      Advisers that list Copper Rock Capital Partners as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 22 to 20
        Aug 24, 2020 to Aug 24, 2020
      • Accounts · 35 to 28
        Jan 8, 2020 to Mar 23, 2020
      • Pension plan clients · 24 to 14
        Jan 8, 2020 to Mar 23, 2020
      • Discretionary RAUM · $4.0B to $3.9B
        Jan 8, 2020 to Mar 23, 2020
      • Pension RAUM · $2.6B to $2.0B
        Jan 8, 2020 to Mar 23, 2020
      • Pooled vehicle RAUM · $925M to $565M
        Jan 8, 2020 to Mar 23, 2020
      • RAUM · $4.0B to $3.9B
        Jan 8, 2020 to Mar 23, 2020
      • Private funds · 1 to 3
        Mar 15, 2019 to Jan 8, 2020
      • Accounts · 38 to 35
        Mar 28, 2018 to Mar 13, 2019
      • Employees · 23 to 22
        Mar 28, 2018 to Mar 13, 2019
      • Discretionary RAUM · $6.4B to $4.0B
        Mar 28, 2018 to Mar 13, 2019
      • Pension RAUM · $3.2B to $2.6B
        Mar 28, 2018 to Mar 13, 2019
      • Pooled vehicle RAUM · $1.9B to $925M
        Mar 28, 2018 to Mar 13, 2019
      • RAUM · $6.4B to $4.0B
        Mar 28, 2018 to Mar 13, 2019
      • Accounts · 36 to 38
        Mar 29, 2017 to Mar 28, 2018
      • Advisory employees · 7 to 9
        Mar 29, 2017 to Mar 28, 2018
      • BD registered reps · 4 to 3
        Mar 29, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 24.0
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 29, 2017 to Mar 28, 2018
      • Employees · 21 to 23
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $5.1B to $6.4B
        Mar 29, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 3161326745.0
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1913455351.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $5.1B to $6.4B
        Mar 29, 2017 to Mar 28, 2018
      • Accounts · 29 to 36
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 20 to 21
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $4.7B to $5.1B
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $4.7B to $5.1B
        Mar 30, 2016 to Mar 29, 2017
      • Accounts · 22 to 29
        Apr 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.1B to $4.7B
        Apr 27, 2015 to Mar 30, 2016
      • RAUM · $3.1B to $4.7B
        Apr 27, 2015 to Mar 30, 2016
      • Related bank · false to true
        Apr 27, 2015 to Mar 30, 2016
      • Related insurance company · true to false
        Apr 27, 2015 to Mar 30, 2016
      Signals
      5 dated events
      • Singh Surender Rana (Manager) no longer on Schedule A of Copper Rock Capital Partners (listed 2020-06-09, absent 2020-08-24)
        Aug 24, 2020 · Control person left · inference
      • S Surender Rana (Manager) appeared on Schedule A of Copper Rock Capital Partners
        Mar 13, 2019 · Control person joined · fact
      • Elizabeth Duval Jennifer Souza (Manager) no longer on Schedule A of Copper Rock Capital Partners (listed 2018-03-28, absent 2019-03-13)
        Mar 13, 2019 · Control person left · inference
      • Copper Rock Capital Partners reported RAUM $4.0B, down 38% from $6.4B (2018-03-28 to 2019-03-13)
        Mar 13, 2019 · RAUM change · derived
      • Copper Rock Capital Partners reported RAUM $6.4B, up 26% from $5.1B (2017-03-29 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026