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ROC360 ADVISORS LLC

NEW YORK, NY · CRD 326954 · IAPD ↗ · 332-2139476

$1.45BRegulatory AUM
41Advisory reps
41Employees
0Clients
n/aPlanning clients
4Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

70
April 2026 — ROC360 ADVISORS LLC crossed $1B in regulatory AUM ($907.0M -> $1.45B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
April 2025 — ROC360 ADVISORS LLC crossed $500M in regulatory AUM ($495.8M -> $907.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
58
April 2025 — ROC360 ADVISORS LLC now reports 4 private fund(s) ($227.8M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
59
April 2025 — ROC360 ADVISORS LLC grew from 35 to 41 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
63
April 2024 — ROC360 ADVISORS LLC reported RAUM up 80% ($274.7M -> $495.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.