RIA Intel›Advisers›New Jersey›ROC RESOURCES, LLC

ROC RESOURCES, LLC

Advisory

N·PRINCETON, NJ

Data as of Mar 28, 2013 · Source: SEC Form ADV

Total AUM

$395M

1-Year AUM Growth

-7.3%

3-Year CAGR

-0.6%

Employees

6

Assets Under Management

Total AUM$395M

Discretionary AUM$38M

Non-Discretionary AUM$357M

Discretionary %9.6%

Total Clients—

Team

Total Employees6

Investment Advisers8

Employee Growth (1Y)—

Filing History

Total Filings on Record3

First FilingDec 14, 2011

Latest FilingMar 28, 2013

🔒 Full AUM trend chart and 3 historical filings spanning 2+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on ROC RESOURCES, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.