Rock Island Capital, LLC (Oak Brook)

Name: Rock Island Capital, LLC
Address: 1415 W 22 Nd Street, Oak Brook, IL, 60523
Telephone: 630-413-9136

Rock Island Capital, LLC is a large advisory firm based in Oak Brook. It manages $405.63 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Illinois.

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

Rock Island Capital: assets under management

The assets under management (AUM) of Rock Island Capital, LLC is $405.63 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 244% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $405.63 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $33.8 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rock Island Capital, 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.

What kind of clients Rock Island Capital serves?

The only and largest group of clients of Rock Island Capital is pooled investment vehicles with 12 clients and $405.63 million of assets under management. Among the 13 most similar advisory firms, Rock Island Capital has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $405.63 million for 12 clients. None of the firm’s clients are foreign persons or businesses.

Rock Island Capital also advises several private funds. Namely, twelve private equity funds. The minimum investment commitment required of non-related persons ranges from $3,000 to $500,000.

Careers at Rock Island Capital, LLC

The company employs 7 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Patrick William Hartman	Managing member	1 Dec 2005	Other	2501769
Alfred Michael Mattaliano	Managing member	1 Dec 2005	Other	2003492
Michael Edward Nugent	Managing member	1 Dec 2005	Other	4261706
Llc Gem Holdings	Member	1 Dec 2005	Other	48-1251495
David D French Revocable Trust	Member	1 Dec 2005	Other	36-4428153
Llc Lanigan Holdings	Member	1 Dec 2005	Other	36-4428153
David Dale French	Trustee of david d french revocable trust	1 Dec 2005	Other	6915798
Robert Lawrence Zell	Chief compliance officer	1 Feb 2012	Other	6032966
Zofie Mietus	Chief compliance officer	1 Oct 2013	Other	6272076
Zofia Nmn Mietus	Chief compliance officer, chief financial officer	1 Oct 2013	Other	6272076
Patrick William Hartman	Member	1 Sep 2017	Other	2501769
Brian Eugene Bastedo	Partner, managing member	1 Nov 2018	Other	7043724

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Gregory S Maday	Member	1 Dec 2005	50% - 75%	6037059
Elizabeth B Maday	Member	1 Dec 2005	50% - 75%	6037060
Lp Lanigan Partners	Member	1 Dec 2005	75% - 100%	36-3812163
Lawrence W Vohland	Trustee	1 Dec 2005	Other	6097212
Gregory Scott Maday	Member	1 Dec 2005	50% - 75%	6037059
Elizabeth Brownlee Maday	Member	1 Dec 2005	50% - 75%	6037060
John Joseph Lanigan	General partner	1 Dec 2005	Other	6915799

Based in Oak Brook

The principal office where Rock Island Capital, LLC performs its advisory services is located at 1415 W 22 Nd Street, Oak Brook, IL 60523, 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 630-413-9136 or by fax 630-574-0213. The normal business hours are 9:00-5:00 on Monday - Friday. You can find more information about the New York firm at rockislandcapital.com and its LinkedIn profile.