One Rock Capital Partners, LLC (New York)

Name: One Rock Capital Partners, LLC
Address: 30 Rockefeller Plaza, New York, NY, 10112
Telephone: 212-605-6000

One Rock Capital Partners, LLC is a large advisory firm based in New York. It manages $1.42 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of New York.

One Rock Capital Partners provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

One Rock Capital Partners: assets under management

The assets under management (AUM) of One Rock Capital Partners, LLC is $1.42 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 3855% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.42 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $708.62 million each.

One Rock Capital Partners has custody of $1.42 billion in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay One Rock Capital Partners, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients One Rock Capital Partners serves?

The only and largest group of clients of One Rock Capital Partners is pooled investment vehicles with 2 clients and $1.42 billion of assets under management. Among the 10 most similar advisory firms, One Rock Capital Partners has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.42 billion for 2 clients. None of the firm’s clients are foreign persons or businesses.

One Rock Capital Partners also advises several private funds. Namely, two private equity funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at One Rock Capital Partners, LLC

The company employs 16 people that are either part- or full-time employees. 88 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Tony Won Lee	Managing member, one rock interim partners, llc	1 Mar 2009	50% - 75%	6077372
Robert Scott Spielvogel	Managing member, one rock, interim partners, llc	1 Mar 2009	50% - 75%	2675028
Lee W Tony	Managing member, one rock interim partners, llc	1 Mar 2009	50% - 75%	6077372
Tony Won Lee	Managing member, chief compliance officer	1 Aug 2011	50% - 75%	6077372
Robert Scott Spielvogel	Managing member	1 Aug 2011	Other	2675028
Inc Mc Capital	Non-managing member	1 Aug 2011	25% - 50%	13-3615881
Lee W Tony	Managing member, chief compliance officer	1 Aug 2011	25% - 50%	6077372
Tony Won Lee	Managing member, one rock capital partners gp, llc	1 Aug 2012	Other	6077372
Robert Scott Spielvogel	Managing member, one rock capital partners gp, llc	1 Aug 2012	Other	2675028
Inc. Mc Capital	Non-managing member, one rock capital partners gp, llc	1 Aug 2012	25% - 50%	13-3615881
Lee W Tony	Managing member, one rock capital partners gp, llc	1 Aug 2012	50% - 75%	6077372
Tony Won Lee	Managing member, one rock capital partners ii gp, llc	1 Dec 2016	Other	6077372
Robert Scott Spielvogel	Managing member, one rock capital partners ii gp, llc	1 Dec 2016	Other	2675028
Inc. Mc Capital	Non-managing member, one rock capital partners ii gp, llc	1 Dec 2016	Other	13-3615881
Anna P Kelleher	Chief compliance officer	1 May 2018	Other	3187044

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mitsubishi Corporation	Parent, mc capital, inc.	1 Jan 1990	75% - 100%	133676166

Based in New York

The principal office where One Rock Capital Partners, LLC performs its advisory services is located at 30 Rockefeller Plaza, New York, NY 10112, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-605-6000 or by fax 212-605-6099. The normal business hours are 9-6 on Monday - Friday. You can find more information about the New York firm at onerockcapital.com.