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Firms / R••••••••• • C••• I•••

R••••••••• • C••• I•••

Private equity with venture activity · probableNew York, NYr•••••••••.comSEC registered investment adviserone firm, 2 filing advisers

This firm files as 2 advisers on r•••••••••.com: R••••••••• C•••••• M•••••••••. Each keeps its own CRD, funds and filings; the grouping is the website each swore to on Form ADV and is recomputed every pass.

registered adviser; venture funds are 4% of 39 private funds

Importance
30
moderate
Active deployment
0
low
Emerging
0
low
Completeness
44
elevated
Freshness
98
high
Research priority
9
low
Identity and regulatory footprint
Headquarters
New York, NYadviserinfo.sec.gov
Office address
••• Lockedadviserinfo.sec.gov
Business phone
••• Lockedadviserinfo.sec.gov
Website
r•••••••••.com
SEC adviser type
registered investment adviseradviserinfo.sec.gov
SEC exemption claimed
unknown
Latest Form ADV
Mar 29, 2018
Private funds reported
39 (2 venture capital funds)adviserinfo.sec.gov
Private fund gross assets
$2.4Badviserinfo.sec.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
Regulatory AUM
$16Bthe adviser's RAUM, a regulatory measure, never a fund size
Employees
159
Owners on Schedule A
V••••• G••••• I•••••••• L• (Voting Security Shareholder), E; D••••• 3• C••••• L••• (Member), C; D••••• 2• C••••• L••• (Member), C; V••••• G••••• P••••••• L•• (G•••••• Partner), F; R••••••••• C•••••• M••••••••• L••• (Member), E; R•• O••• L•• (Member), E; R••••••••• C•••••• M••••••••• G•••••• P•••••• L••••• (G•••••• Partner), F
business phone
212-549-5100adviserinfo.sec.govpublished by the subject
Stated thesis versus observed behaviour
no observed deals yet
Stated (the firm’s website)
Sectors
not stated or not yet read
Stages
not stated or not yet read
Geography
not stated
Check size
not stated; DFX does not estimate checks from round sizes
Observed (from deals on record)
Stage at participation: no observed deals yet
Stage at first entry: no observed deals yet
Sectors: no observed deals yet
lead rate n/afollow-on rate n/anew logos, 12 months 0
Funds and vehicles
2 reported, 1 no longer reported
VehicleTypeVintageLifecycleReported GAVOwnersForm D soldLatest Form D
V•••••• I•••••••• F••• L••FundunknownUnknown$4.5M
Mar 29, 2018
99unknownunknown
R••••••••• V•••••• F••• I•• L•FundunknownUnknown$2.0M
Mar 29, 2018
9unknownunknown
R••••••••• V•••••• F••• L••FundunknownWound down$180,034
Aug 16, 2017
24unknownunknown
GAV is the gross asset value the adviser reported on Form ADV for the vehicle, never the fund’s committed size and never dry powder. Form D sold is the amount sold as of the latest filing, never a final close.
Investment team
7 current, 19 departed
G•••••• J•••• F••••••
President And Chief Executive Officer · since Mar 1, 2018
Founder or executive
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Partner
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Partner
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
E••••• N• M•••••••
Chief Financial Officer · since Mar 1, 2018
Platform and operations
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
H••••• S••••
Chief Operating Officer · since Mar 1, 2018
Platform and operations
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
T•••••• J••••• M•••••••
Chief Compliance Officer & Assistant Secretary · since Mar 1, 2018
Platform and operations
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Y••••• M•••• G•••••
G•••••• Counsel & Secretary · since Mar 1, 2018
Platform and operations
FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
19 departed (kept with end dates)
Investments on record
0 edges, 0 companies, 0 partner-attributed
No investment on record yet. Edges arrive from the firm’s portfolio page, financing announcements, and Form D board seats.
Co-investors
0 relationships from shared deals, counted for the whole firm
No co-investor relationship yet: these are derived only from rounds and portfolio listings the graph has seen both investors on.
Limited partners
0 disclosed
No LP commitment on record. An LP edge needs a public disclosure with a quote: a pension report (see Limited partners for the plans read), a fund announcement naming the LP, or a Form ADV owner. The fund page carries the LP’s reported performance.
Timeline
33 dated events
  1. Mar 29, 2018
    F•••••••• J••••••• G••••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceF•••••••• J••••••• G•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  2. Mar 29, 2018
    R•••••• D• P•••••• (Trustee) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceR•••••• D• P••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  3. Mar 29, 2018
    C•••• G•••• C••••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceC•••• G•••• C•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  4. Mar 29, 2018
    D•••• J•• R••••••••• (Chairman Of The Board) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceD•••• J•• R•••••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  5. Mar 29, 2018
    P•••• C•••••• O•••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceP•••• C•••••• O••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  6. Mar 29, 2018
    D•••• P•••• H••••• (Chief Investment Officer) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceD•••• P•••• H•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  7. Mar 29, 2018
    C•••••• K•••••• B••••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceC•••••• K•••••• B•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  8. Mar 29, 2018
    M•••• J•••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceM•••• J••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  9. Mar 29, 2018
    R••••• J•••••• I•• (President, Chief Executive Officer And Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceR••••• J•••••• I••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  10. Mar 29, 2018
    D•••• W•••••••• (Chief Financial Officer) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceD•••• W••••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  11. Mar 29, 2018
    S••••• W•••••• H••••• (Chief Operating Officer) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceS••••• W•••••• H•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  12. Mar 29, 2018
    S•••••• B• H••••• (Trustee) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceS•••••• B• H•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  13. Mar 29, 2018
    R••••••••• V•••••• F••• L•• no longer reported on Form ADV by R••••••••• • C••• I•••
    Fund no longer reportedFundsInferenceR••••••••• V•••••• F••• L••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  14. Mar 29, 2018
    M••• F••••• R••••••••• (Vice Chairman Of The Board) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceM••• F••••• R•••••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  15. Mar 29, 2018
    M•••••• S•••• R••••••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceM•••••• S•••• R•••••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  16. Mar 29, 2018
    J••• C•••• L••••• (Trustee) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceJ••• C•••• L•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  17. Mar 1, 2018
    H••••• S•••• joined Schedule A of R••••••••• • C••• I••• as Chief Operating Officer
    Person joinedPeopleFactH••••• S••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  18. Mar 1, 2018
    G•••••• J•••• F•••••• joined Schedule A of R••••••••• • C••• I••• as President And Chief Executive Officer
    Person joinedPeopleFactG•••••• J•••• F••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  19. Mar 1, 2018
    E••••• N• M••••••• joined Schedule A of R••••••••• • C••• I••• as Chief Financial Officer
    Person joinedPeopleFactE••••• N• M•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  20. Jan 28, 2016
    A•••••• M• G••••••• (Trustee) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceA•••••• M• G•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  21. Jan 1, 2016
    S•••••• B• H••••• joined Schedule A of R••••••••• • C••• I••• as Trustee
    Person joinedPeopleFactS•••••• B• H•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  22. Apr 28, 2015
    G••••• D••••• T••••• (Director) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceG••••• D••••• T•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  23. Apr 1, 2015
    F•••••••• J••••••• G••••••• joined Schedule A of R••••••••• • C••• I••• as Director
    Person joinedPeopleFactF•••••••• J••••••• G•••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  24. Jan 1, 2015
    S••••• W•••••• H••••• joined Schedule A of R••••••••• • C••• I••• as Chief Operating Officer
    Person joinedPeopleFactS••••• W•••••• H•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  25. Jan 11, 2013
    A••••• V••••• S•••••• (President & Chief Operating Officer) no longer on Schedule A of R••••••••• • C••• I•••
    Person leftPeopleInferenceA••••• V••••• S••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  26. Oct 5, 2012
    M••• I•••• S•••• (Director) no longer on Schedule A of R••••••••• Financial
    Person leftPeopleInferenceM••• I•••• S••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  27. Sep 1, 2012
    G••••• D••••• T••••• joined Schedule A of R••••••••• Financial as Director
    Person joinedPeopleFactG••••• D••••• T•••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  28. Mar 30, 2012
    R••••••••• Financial first filed Form ADV (IA)
    First SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  29. Mar 30, 2012
    R••••••••• V•••••• F••• I•• L• first reported on Form ADV by R••••••••• Financial (Venture Capital Fund), GAV $3,245,048
    Fund first reported on Form ADVFundsFactR••••••••• V•••••• F••• I•• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  30. Mar 30, 2012
    R••••••••• V•••••• F••• L•• first reported on Form ADV by R••••••••• Financial (Venture Capital Fund), GAV $2,430,781
    Fund first reported on Form ADVFundsFactR••••••••• V•••••• F••• L••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  31. Mar 30, 2012
    V•••••• I•••••••• F••• L•• first reported on Form ADV by R••••••••• Financial (Venture Capital Fund), GAV $12,164,694
    Fund first reported on Form ADVFundsFactV•••••• I•••••••• F••• L••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  32. Apr 1, 1999
    O•• A•••••• H•••••••• joined Schedule A of R••••••••• • C••• I••• as Member
    Person joinedPeopleFactO•• A•••••• H••••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
  33. Apr 1, 1999
    D•••• C••••••••• O•• joined Schedule A of R••••••••• • C••• I••• as Member
    Person joinedPeopleFactD•••• C••••••••• O••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Classification history
  1. Sep 12, 2026
    Private equity with venture activity (probable, 75%, cls-1)
    registered adviser; venture funds are 4% of 39 private funds
Evidence
50 observations from 2 sources
Every observation behind this profile, with its source, date and class
FactValueEffectiveClassSource
SEC adviser typeregistered_investment_adviserMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
First Form ADV filing2012-03-30Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Adv history loadedadv-hist-1Sep 12, 2026FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Latest Form ADV filing2018-03-29Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Venture share of reported funds0Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Business phone••• LockedMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Employees159Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
HeadquartersNew York, NYMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Office address••• LockedMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Private funds reported39Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Private fund gross assets (reported)$2.4BMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Regulatory AUM (adviser, not fund size)$16BMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Venture funds reported2Mar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
WebsiteHTTP://w••.r•••••••••.com
“re-picked from Schedule D 1.I by name”
Sep 12, 2026FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
WebsiteHTTP://w••.r•••••••••.comMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
WebsiteHTTP://WWW.ROCKCO.COMMar 29, 2018FactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Robotsdisallowed
“robots.txt disallows our user agent”
Sep 16, 2026FactVenture organization websites (about, team, portfolio, thesis, news pages)
Robotsdisallowed
“robots.txt disallows our user agent”
Sep 15, 2026FactVenture organization websites (about, team, portfolio, thesis, news pages)