One Rock Capital Partners, LLC (New York)


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. 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 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.