Rockwood Capital, LLC (New York)

Name: Rockwood Capital, LLC
Address: 140 East 45 Th Street, New York, NY, 10017
Telephone: 212-402-8500

Rockwood Capital, LLC is a large advisory firm based in New York. It manages $7.38 billion of regulatory assets for 21 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California and New York.

Rockwood Capital 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.

Rockwood Capital: assets under management

The assets under management (AUM) of Rockwood Capital, LLC is $7.38 billion. The firm's AUM has grown by 115% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $7.28 billion in discretionary accounts and $95.66 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $383.25 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $47.83 million.

Rockwood Capital has custody of $135.08 million in cash and securities for 19 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockwood Capital, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Edmond Apostolos Kavounas serves?

The only and largest group of clients of Edmond Apostolos Kavounas is pooled investment vehicles with 21 clients and $7.38 billion of assets under management. Among the 10 most similar advisory firms, Rockwood Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $7.38 billion for 21 clients. None of the firm’s clients are foreign persons or businesses.

Rockwood Capital also advises several private funds. Namely, twenty one real estate funds. The minimum investment commitment required of non-related persons ranges from $0 to $600,000,000.

Careers at Rockwood Capital, LLC

The company employs 52 people that are either part- or full-time employees. 100 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.

Edmond Apostolos Kavounas has been acting as President since 1 Jul 1995. Niraj Ramesh Shah joined the executive team most recently as the Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Peter John Falco	Partner	1 Jul 1995	Other	6028995
Robert Lawrence Gray	Partner	1 Jul 1995	Other	6028998
Walter Peter Schmidt	Partner	1 Jul 1995	Other	6029003
Neil Harvey Smith	Retired partner	1 Jul 1995	Other	6029004
Edmond Apostolos Kavounas	Chairman/partner	1 Jul 1995	Other	6029000
David Immanuel Becker	Chief legal officer/partner	1 Jun 2004	Other	6028788
Jennifer Ann Levy	Chief financial officer/partner	1 Jan 2005	Other	6029001
Rockwood Capital Corporation	Member of adviser	1 Jun 2006	Other	94-3226173
David Alexander Streicher	Partner	1 Jan 2009	Other	2566810
Tyson Everett Skillings	Partner	1 Jan 2010	Other	6317812
Peter Anthony Kaye	Partner	1 Jan 2010	Other	6317814
Llc Rockwood Capital	Sole member of rc advisory, llc (relying adviser)	1 Sep 2013	75% - 100%	20-4855911
Edmond Apostolos Kavounas	Retired chairman and partner	1 May 2014	Other	6029000
Maysa Vahidi	Chief compliance officer	1 Feb 2015	Other	6454308
Arthur Simon Flashman	Chief financial officer	1 Mar 2015	Other	6486074
Jamie Elizabeth Mccue	Chief accounting officer	1 Jun 2016	Other	6771135
Anthony Larino	Partner	1 Jan 2017	Other	2361769
Jaclyn Christine Chou	Director, financial operations	1 May 2017	Other	6927236
Niraj Ramesh Shah	Partner	1 Jan 2019	Other	4582948
Andrew Ronald Blanchard	Partner	1 Jan 2019	Other	7088276

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Edmond Apostolos Kavounas	Shareholder	1 Jun 1995	25% - 50%	6029000

Based in New York

The principal office where Rockwood Capital, LLC performs its advisory services is located at 140 East 45 Th Street, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-402-8500 or by fax 929-296-7794. The normal business hours are 8:00am to 5:30 pm on Monday - Friday. You can find more information about the New York firm at rockwoodcap.com and its LinkedIn profile.