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Roc Resources, LLC (Princeton)


Roc Resources, LLC is a large advisory firm based in Princeton. It manages $395.11 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of New Jersey, New York, and Pennsylvania.

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Roc Resources 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.

Roc Resources: assets under management

The assets under management (AUM) of Roc Resources, LLC is $395.11 million. The firm's AUM has gone down by -7% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $37.83 million in discretionary accounts and $357.28 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $37.83 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $59.55 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Roc Resources, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Princeton

The principal office where Roc Resources, LLC performs its advisory services is located at 17 Hulfish Street, Princeton, NJ 08542, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 609-423-1280. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at www.rocresource.com.


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