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ROCATON INVESTMENT ADVISORS, LLC

Company Details

Entity Name: ROCATON INVESTMENT ADVISORS, LLC
Jurisdiction: Connecticut
Legal type: LLC
Citizenship: Domestic
Status: Merged
Date Formed: 02 Apr 2002 (Companies founded in April 2002)
Business ALEI: 0710492
Annual report due: 31 Mar 2025
NAICS code: 525110 - Pension Funds
Business address: 200 West Street, New York, NY, 10282, United States
Mailing address: 200 West Street, New York, NY, United States, 10282
Place of Formation: CONNECTICUT
E-Mail: Compliancemail@cscinfo.com

Central Index Key

CIK number Mailing Address Business Address Phone
1758154 20 GLOVER AVE, 2ND FLOOR, NORWALK, CT, 06850 20 GLOVER AVE, 2ND FLOOR, NORWALK, CT, 06850 2036211760

Filings since 2018-11-14
Form type 13F-HR
File number 028-18916
Filing date 2018-11-14
Reporting date 2018-09-30
File View File

Filings since 2018-11-14
Form type 13F-HR
File number 028-18916
Filing date 2018-11-14
Reporting date 2018-06-30
File View File

Filings since 2018-11-14
Form type 13F-HR
File number 028-18916
Filing date 2018-11-14
Reporting date 2018-03-31
File View File

Filings since 2018-11-14
Form type 13F-HR/A
File number 028-18916
Filing date 2018-11-14
Reporting date 2017-12-31
File View File

Filings since 2018-11-05
Form type 13F-HR
File number 028-18916
Filing date 2018-11-05
Reporting date 2017-12-31
File View File

Commercial and government entity program

CAGE number Status Type Established CAGE Update Date CAGE Expiration SAM Expiration
4UWB6 Obsolete Non-Manufacturer 2007-08-27 2024-03-07 2022-02-14 No data

Contact Information
POC JAMES QUINN
Phone +1 203-621-1779
Fax +1 203-621-1799
Address 601 MERRITT 7, NORWALK, CT, 06851 1091, UNITED STATES

Ownership of Offeror Information
Highest Level Owner Information not Available
Immediate Level Owner Information not Available
List of Offerors (1)
CAGE number 7GDT9
Owner Type Immediate
Legal Business Name REQUISIGHT, LLC

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
ROCATON INVESTMENT ADVISORS, LLC MARKET BASED CASH BALANCE RETIREMENT PLAN 2019 043638035 2020-10-19 ROCATON INVESTMENT ADVISORS, LLC 9
File View Page
Three-digit plan number (PN) 003
Effective date of plan 2016-01-01
Business code 523900
Sponsor’s telephone number 2036211741
Plan sponsor’s address 20 GLOVER AVENUE 2ND FLOOR, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2020-10-19
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC CASH BALANCE PENSION TRUST 2019 043638035 2020-10-19 ROCATON INVESTMENT ADVISORS, LLC 7
File View Page
Three-digit plan number (PN) 002
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 2036211741
Plan sponsor’s address 20 GLOVER AVENUE 2ND FLOOR, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2020-10-19
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC CASH BALANCE PENSION TRUST 2019 043638035 2020-07-30 ROCATON INVESTMENT ADVISORS, LLC 51
File View Page
Three-digit plan number (PN) 002
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 2036211700
Plan sponsor’s address 20 GLOVER AVENUE, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2020-07-30
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2019 043638035 2020-07-30 ROCATON INVESTMENT ADVISORS, LLC 100
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-04-01
Business code 523900
Sponsor’s telephone number 2036211700
Plan sponsor’s address 20 GLOVER AVENUE, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2020-07-30
Name of individual signing CHRISTOPHER LYON
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC MARKET BASED CASH BALANCE RETIREMENT PLAN 2019 043638035 2020-07-30 ROCATON INVESTMENT ADVISORS, LLC 52
File View Page
Three-digit plan number (PN) 003
Effective date of plan 2016-01-01
Business code 523900
Sponsor’s telephone number 2036211741
Plan sponsor’s address 20 GLOVER AVENUE 2ND FLOOR, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2020-07-30
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2018 043638035 2019-07-30 ROCATON INVESTMENT ADVISORS, LLC 100
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-04-01
Business code 523900
Sponsor’s telephone number 2036211700
Plan sponsor’s address 20 GLOVER AVENUE, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2019-07-30
Name of individual signing CHRISTOPHER LYON
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC MARKET BASED CASH BALANCE RETIREMENT PLAN 2018 043638035 2019-07-30 ROCATON INVESTMENT ADVISORS, LLC 47
File View Page
Three-digit plan number (PN) 003
Effective date of plan 2016-01-01
Business code 523900
Sponsor’s telephone number 2036211741
Plan sponsor’s address 20 GLOVER AVENUE 2ND FLOOR, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2019-07-30
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC CASH BALANCE PENSION TRUST 2018 043638035 2019-07-30 ROCATON INVESTMENT ADVISORS, LLC 52
File View Page
Three-digit plan number (PN) 002
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 2036211700
Plan sponsor’s address 20 GLOVER AVENUE, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2019-07-30
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC MARKET BASED CASH BALANCE RETIREMENT PLAN 2017 043638035 2018-07-27 ROCATON INVESTMENT ADVISORS, LLC 45
File View Page
Three-digit plan number (PN) 003
Effective date of plan 2016-01-01
Business code 523900
Sponsor’s telephone number 2036211741
Plan sponsor’s address 20 GLOVER AVENUE 2ND FLOOR, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2018-07-27
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature
ROCATON INVESTMENT ADVISORS, LLC CASH BALANCE PENSION TRUST 2017 043638035 2018-07-27 ROCATON INVESTMENT ADVISORS, LLC 55
File View Page
Three-digit plan number (PN) 002
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 2036211700
Plan sponsor’s address 20 GLOVER AVENUE, NORWALK, CT, 06850

Signature of
Role Plan administrator
Date 2018-07-27
Name of individual signing JOSEPH NANKOF
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role
CORPORATION SERVICE COMPANY Agent

Officer

Name Role Business address
GSAM HOLDINGS LLC Officer 200 WEST STREET, NEW YORK, NY, 10282, United States

History

Type Old value New value Date of change
Name change WHITE OAK INVESTMENT ADVISORS, LLC ROCATON INVESTMENT ADVISORS, LLC 2002-04-05

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012086505 2024-02-26 No data Annual Report Annual Report No data
BF-0011406222 2023-03-20 No data Annual Report Annual Report No data
BF-0010365836 2022-03-31 No data Annual Report Annual Report 2022
BF-0010479028 2022-01-14 2022-01-14 Mass Agent Change � Address Agent Address Change No data
0007262238 2021-03-26 No data Annual Report Annual Report 2021
0006950703 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006943532 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006796580 2020-02-28 No data Annual Report Annual Report 2020
0006521594 2019-04-04 2019-04-04 Amendment Restated No data
0006452170 2019-03-12 No data Annual Report Annual Report 2019

Related by officers

GSAM HOLDINGS LLC

GOLDMAN SACHS ASSET MANAGEMENT, LIMITED PARTNERSHIP

Related by address

No related companies by address

Date of last update: 11 Nov 2024

Sources: Connecticut's Official State Website

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