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ROC PARTNERS (US) LLC

NEW YORK, NY · CRD 333044 · IAPD ↗ · rocp.com · 212-972-5700

$121.1MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
2States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

35
October 2026 — ROC PARTNERS (US) LLC moved its main office from SYDNEY NSW, to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
12
May 2026 — ROC PARTNERS (US) LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
March 2025 — ROC PARTNERS (US) LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
November 2024 — ROC PARTNERS (US) LLC (SYDNEY NSW, Australia) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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