ROCATON INVESTMENT ADVISORS
Latest filing: Apr 12, 2024 (201 days ago)
AUM
$12,978,250,016
5% change vs. 1 year ago
-9% change vs. 3 years ago
12% change vs. 5 years ago
151% change vs. 10 years ago
Employee Count
23
-26% change vs. 1 year ago
-26% change vs. 3 years ago
-65% change vs. 5 years ago
-54% change vs. 10 years ago
Main Office
NORWALK, CT
20 GLOVER AVENUE, NORWALK, CT, UNITED STATES, 06850
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $13.0 |
| Non-Discretionary | $0.0 |
| Total | $13.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $13.0 |
| Total | $13.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $8.2 |
| FIDELITY MANAGEMENT TRUST COMPANY | BOSTON-MA-USA | $2.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $13.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $13.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 25% | $3.2 |
| Other Pools | 74% | $9.6 |
| Cash | 0% | $0.0 |
| Other | 1% | $0.1 |
| Total | 100% | $13.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| GOLDMAN SACHS ASSET MANAGEMENT, L.P. | $1,661.3 | 107738 | |
| GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL | $405.2 | 107715 | |
| GOLDMAN SACHS & CO. LLC | $222.7 | broker-dealer, municipal advisor | 361 |
| GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. | $55.8 | broker-dealer | 283221 |
| THE AYCO COMPANY, L.P. | $25.9 | 106693 | |
| GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED | $16.4 | 286066 | |
| GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | $14.4 | broker-dealer | 286067 |
| GOLDMAN SACHS HEDGE FUND STRATEGIES LLC | $11.3 | 107850 | |
| APTITUDE INVESTMENT MANAGEMENT LP | $6.1 | 159070 | |
| GSAM HOLDINGS LLC | $0.0 | - | |
| VNT FUND VA ADVISORS LLC | $0.0 | - | |
| GS PE HARVEST GP I D INC | $0.0 | - | |
| VINTAGE VIII FOREIGN INCOME BLOCKER LLC | $0.0 | - | |
| BROAD STREET SENIOR CREDIT PARTNERS ADVISOR, L.L.C. | $0.0 | - | |
| CLLF ADVISORS LLC | $0.0 | - | |
| PES OPPORTUNITIES ADVISORS, INC. | $0.0 | - | |
| STRATEGIC INVESTORS XI ACCESS LLC | $0.0 | - | |
| GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED | $0.0 | - | |
| GOLDMAN SACHS PH ADVISORS, L.L.C. | $0.0 | - | |
| GSAM GEN-PAR, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS PEM 2014 ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS PARIS INC. ET CIE | $0.0 | broker-dealer | - |
| GSAM STRATEGIST PORTFOLIOS, LLC | $0.0 | 109683 | |
| GOLDMAN SACHS JAPAN CO., LTD. | $0.0 | broker-dealer | - |
| VINTAGE VII AB HOLDINGS LP | $0.0 | - | |
| GOLDMAN SACHS PEP 2004 US-FOCUSED (KP) OFFSHORE ADVISORS, INC. | $0.0 | - | |
| NN INVESTMENT PARTNERS TOWARZYSTWO FUNDUSZY INWESTYCYJNYCH S.A. | $0.0 | - | |
| GS PE HARVEST GP I E INC | $0.0 | - | |
| VINTAGE VIII EMPLOYEE OFFSHORE INVESTMENTS LTD | $0.0 | - | |
| GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S/A | $0.0 | - | |
| VINTAGE VIII EMPLOYEE FOREIGN INCOME BLOCKER LLC | $0.0 | - | |
| VINTAGE VIII B OFFSHORE HOLDINGS LP | $0.0 | - | |
| VINTAGE VIII OFFSHORE HOLDINGS LP | $0.0 | - | |
| SENIOR CREDIT FUND (UCR) ADVISORS LLC | $0.0 | - | |
| SENIOR CREDIT (UWF) ADVISORS LLC | $0.0 | - | |
| OT ACCESS LLC | $0.0 | - | |
| PEA ENHANCED FACILITY AGGREGATOR LP | $0.0 | - | |
| VINTAGE VIII B FOREIGN INCOME BLOCKER LLC | $0.0 | - | |
| BROAD STREET SENIOR CREDIT PARTNERS II ADVISOR, L.L.C. | $0.0 | - | |
| WEST STREET PRIVATE CREDIT PARTNERS (A) GP ADVISORS, LLC | $0.0 | - | |
| BROAD STREET SENIOR CREDIT PARTNERS OFFSHORE ADVISOR, LTD. | $0.0 | - | |
| DST OPPORTUNITIES II ACCESS LLC | $0.0 | - | |
| GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C. | $0.0 | - | |
| BATTERY VENTURES OPPORTUNITIES ACCESS OFFSHORE LP | $0.0 | - | |
| GS MEZZANINE ADVISORS V, L.L.C. | $0.0 | - | |
| WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS BELEGGERSGIRO B.V. | $0.0 | broker-dealer | - |
| GOLDMAN SACHS BANK USA | $0.0 | - | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | $0.0 | broker-dealer | - |
| GOLDMAN SACHS FINANCIAL MARKETS PTY LTD | $0.0 | broker-dealer | - |
| GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD | $0.0 | broker-dealer | - |
| PRIVATE EQUITY MANAGERS 2012 ADVISORS L.L.C. | $0.0 | - | |
| GSAM STABLE VALUE, LLC | $0.0 | 105997 | |
| GOLDMAN SACHS INTERNATIONAL BANK | $0.0 | broker-dealer | - |
| GOLDMAN SACHS VSS ADVISORS LLC | $0.0 | - | |
| J. ARON & COMPANY LLC | $0.0 | broker-dealer | - |
| GSAM (GLOBAL MANAGER SERIES CAYMAN GP) LTD | $0.0 | - | |
| THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION | $0.0 | trust company | - |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV EMPLOYEE FUNDS GP, L.L.C. | $0.0 | - | |
| MERCER ALLIED COMPANY, L.P. | $0.0 | broker-dealer | 37404 |
| GOLDMAN SACHS PRIVATE EQUITY CONCENTRATED HEALTHCARE OFFSHORE ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS CONCENTRATED MEZZANINE AND DISTRESSED FUND II GP, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS TL PROGRAM ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS FINANCIAL MARKETS, L.P. | $0.0 | broker-dealer | 47340 |
| GOLDMAN SACHS SAUDI ARABIA | $0.0 | broker-dealer | - |
| GOLDMAN SACHS BANK EUROPE SE | $0.0 | broker-dealer | - |
| VINTAGE REAL ESTATE PARTNERS II FOREIGN INCOME BLOCKER LLC | $0.0 | - | |
| VINTAGE VIII B2 OFFSHORE FOREIGN INCOME BLOCKER LTD | $0.0 | - | |
| VINTAGE VIII EMPLOYEE OFFSHORE US INVESTMENTS LLC | $0.0 | - | |
| VF IX SLP AGGREGATOR LP | $0.0 | - | |
| GOLDMAN SACHS ASSET MANAGEMENT BELGIUM S.A. | $0.0 | - | |
| GOLDMAN SACHS ASSET MANAGEMENT SCHWEIZ GMBH | $0.0 | - | |
| MD VII PE ACCESS ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS ASSET MANAGEMENT B.V. | $0.0 | - | |
| BROAD STREET LOAN PARTNERS IV UNLEVERED ADVISORS, S.A R.L. | $0.0 | - | |
| BROAD STREET PARTNERS LUX GP, S.A R.L. | $0.0 | - | |
| WEST STREET/NJ PRIVATE CREDIT PARTNERSHIP GP ADVISORS LLC | $0.0 | - | |
| WEST STREET TFL CREDIT PARTNERS GP, S.A R.L. | $0.0 | - | |
| WEST STREET GCPD GP, LLC | $0.0 | - | |
| GOLDMAN SACHS SERVICES (HONG KONG) LIMITED | $0.0 | - | |
| VENN HYPOTHEKEN B.V. | $0.0 | - | |
| GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED | $0.0 | broker-dealer | - |
| TE 4 ACCESS ADVISORS | $0.0 | - | |
| PRIVATE EQUITY MANAGERS 2016 ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS MANAGEMENT PARTNERS, L.P. | $0.0 | - | |
| GOLDMAN SACHS PROMOCION DE PRODUCTOS FINANCIEROS S.A. | $0.0 | - | |
| GOLDMAN SACHS INVESTMENT PARTNERS GP, LLC | $0.0 | - | |
| GOLDMAN SACHS COLLECTIVE TRUST | $0.0 | trust company | - |
| GOLDMAN SACHS EUROPE LIMITED | $0.0 | - | |
| GS PE HARVEST GP I A INC | $0.0 | - | |
| PRIVATE EQUITY CO-INVESTMENT PARTNERS ADVISORS LLC | $0.0 | - | |
| GS PE HARVEST GP I C LLC | $0.0 | - | |
| GS PE HARVEST GP II A INC | $0.0 | - | |
| THE GOLDMAN SACHS GROUP, INC. | $0.0 | - | |
| VF VIII ESC ADVISORS LLC | $0.0 | - | |
| PRIVATE EQUITY MANAGERS (2016) OFFSHORE ADVISORS | $0.0 | - | |
| GOLDMAN SACHS (CHINA) L.L.C. | $0.0 | - | |
| GOLDMAN SACHS NEW ZEALAND LIMITED | $0.0 | broker-dealer | - |
| PRIVATE EQUITY MANAGERS 2013 ADVISORS L.L.C. | $0.0 | - | |
| GOLDMAN SACHS EP ADVISORS LLC | $0.0 | - | |
| OOO GOLDMAN SACHS BANK | $0.0 | broker-dealer | - |
| GOLDMAN SACHS PEP 2004 US-FOCUSED (KP) OFFSHORE HOLDINGS ADVISORS, INC. | $0.0 | - | |
| PRIVATE EQUITY MANAGERS (2015) OFFSHORE ADVISORS | $0.0 | - | |
| GROWTH AND EMERGING MARKETS PRIVATE EQUITY MANAGERS: 2011 ADVISORS L.L.C. | $0.0 | - | |
| MULTI-MANAGER ACCESS ADVISORS LLC | $0.0 | - | |
| GS INVESTMENT STRATEGIES CANADA INC. | $0.0 | - | |
| VNT / BROAD STREET ENERGY ACCESS ADVISORS LLC | $0.0 | - | |
| STRATEGIC VALUE CAPITAL SOLUTIONS II ACCESS LLC | $0.0 | - | |
| GOLDMAN SACHS PRIVATE EQUITY U.S. - FOCUSED II OFFSHORE HOLDINGS ADVISORS, LLC | $0.0 | - | |
| WEST STREET STRATEGIC SOLUTIONS GP, L.L.C. | $0.0 | - | |
| PRIVATE EQUITY MANAGERS 2015 ADVISORS LLC | $0.0 | - | |
| WEST STREET/NJ BSL CREDIT ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS ALTERNATIVE ASSETS S.A R.L | $0.0 | - | |
| GOLDMAN SACHS LENDING PARTNERS LLC | $0.0 | - | |
| CO-INVEST AGGREGATOR GP LTD | $0.0 | - | |
| PEP XI ADVISORS, L.L.C. | $0.0 | - | |
| MBD ADVISORS, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED | $0.0 | broker-dealer | - |
| PECP III ESC ADVISORS LLC | $0.0 | - | |
| PH PE AGGREGATOR GP LTD | $0.0 | - | |
| VF IX ESC ADVISORS LLC | $0.0 | - | |
| WEST STREET FUNDS MASTER UNIT TRUST | $0.0 | - | |
| WEST STREET STRATEGIC SOLUTIONS GP (E) S.A R.L. | $0.0 | - | |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV OFFSHORE ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS SERVICES PRIVATE LIMITED | $0.0 | - | |
| GOLDMAN SACHS (ASIA) L.L.C. | $0.0 | broker-dealer | - |
| THE AYCO SERVICES AGENCY, L.P. | $0.0 | - | |
| THE AYCO SERVICES INSURANCE AGENCY, INC. | $0.0 | - | |
| GOLDMAN SACHS PRIVATE EQUITY U.S. - FOCUSED II OFFSHORE ADVISORS, LLC | $0.0 | - | |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV OFFSHORE HOLDINGS ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS FUTURES PTE LTD | $0.0 | broker-dealer | - |
| GOLDMAN SACHS GLOBAL SERVICES II LIMITED | $0.0 | - | |
| GOLDMAN SACHS PRIVATE EQUITY MULTI-STRATEGY FUND OFFSHORE ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS (ASIA) FINANCE | $0.0 | broker-dealer | - |
| GOLDMAN SACHS PH PRIVATE EQUITY ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS ACCESS FUNDS GP, LLC | $0.0 | - | |
| GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A | $0.0 | broker-dealer | - |
| WEST STREET CO-INVESTMENT PARTNERS (C) GP, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS (SINGAPORE) PTE. | $0.0 | broker-dealer | - |
| ASL ACCESS ADVISORS LLC | $0.0 | - | |
| GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V. | $0.0 | broker-dealer | - |
| GSAM HOLDINGS II LLC | $0.0 | - | |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV ADVISORS, L.L.C. | $0.0 | - | |
| MB ADVISORS LTD | $0.0 | - | |
| THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE | $0.0 | trust company | - |
| ARROW REINSURANCE COMPANY, LIMITED | $0.0 | - | |
| PRIVATE EQUITY CO-INVESTMENT PARTNERS OFFSHORE ADVISORS, INC. | $0.0 | - | |
| GOLDMAN SACHS PEP X ADVISORS, L.L.C. | $0.0 | - | |
| AC RES ADVISORS, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS BANK AG | $0.0 | broker-dealer | - |
| GS UI ADVISORS LIMITED | $0.0 | - | |
| GOLDMAN SACHS INTERNATIONAL | $0.0 | broker-dealer | - |
| QIAN KUN FUTURES CO., LTD. | $0.0 | broker-dealer | - |
| PRIVATE REAL ESTATE MANAGERS: 2011 ADVISORS LLC | $0.0 | - | |
| APTITUDE PARTNERS FUND GP LLC | $0.0 | - | |
| GOLDMAN SACHS PCO ADVISORS LLC | $0.0 | - | |
| FOLIO INVESTMENTS, INC. | $0.0 | broker-dealer | 48015 |
| WEST STREET CT PRIVATE CREDIT ADVISORS, L.L.C. | $0.0 | - | |
| GOLDMAN SACHS AUSTRALIA PTY LTD | $0.0 | broker-dealer | - |
| WEST STREET EP GP, LLC | $0.0 | - | |
| GOLDMAN SACHS CANADA INC | $0.0 | broker-dealer | - |
| GOLDMAN SACHS PEM 2011 ADVISORS LLC | $0.0 | - | |
| PES EMPLOYEE AGGREGATOR LP | $0.0 | - | |
| GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $13.0 | $0.0 | 0% | 23 | 0 | 0% |
| 2024-04-02 | $13.0 | $0.0 | 0% | 23 | 0 | 0% |
| 2023-04-04 | $12.4 | $0.6 | 5% | 31 | -8 | -26% |
| 2022-04-01 | $13.2 | -$0.2 | -1% | 41 | -18 | -44% |
| 2021-04-05 | $14.3 | -$1.4 | -9% | 31 | -8 | -26% |
| 2020-04-01 | $14.0 | -$1.0 | -7% | 37 | -14 | -38% |
| 2019-04-01 | $11.6 | $1.4 | 12% | 65 | -42 | -65% |
| 2018-04-02 | $9.9 | $3.1 | 31% | 65 | -42 | -65% |
| 2017-04-01 | $9.2 | $3.8 | 42% | 62 | -39 | -63% |
| 2016-04-01 | $7.2 | $5.8 | 81% | 61 | -38 | -62% |
| 2015-04-01 | $5.4 | $7.6 | 140% | 59 | -36 | -61% |
| 2014-04-01 | $5.2 | $7.8 | 151% | 50 | -27 | -54% |
| 2013-04-01 | $2.0 | $11.0 | 544% | 50 | -27 | -54% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, CT-05/07/2002, IL-04/13/2020, MD-04/29/2021 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION NEWSLETTERS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV