{"url":"https://nivawealth.com/firms/roark-capital-management-160368","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/160368","regulatoryAum":34177087625,"crd":"160368","secFileNumber":"801-73653","legalName":"Roark Capital Management, LLC","displayName":"Roark Capital Management","website":"http://www.roarkcapital.com","linkedinUrl":"http://www.linkedin.com/company/roark-capital/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1180 Peachtree Street Ne, Suite 2500","city":"Atlanta","state":"GA","stateName":"Georgia","country":"United States","postalCode":"30309-3521"},"tradeNames":["Roark Capital Cayman Management, L.P."],"registration":{"secApproved":"15 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":145,"advisory":104,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":34177087625,"discretionaryAccounts":14,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":43,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":14,"regulatoryAum":34177087625}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Roark Capital Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wesley Lee","title":"Chief Financial Officer","crd":"7674542"},{"name":"Louis Matthews","title":"Chief Compliance Officer and Associate General Counsel","crd":"4973622"},{"name":"Stephen Aronson","title":"Managing Director and General Counsel","crd":"6027124"}],"ownership":[{"label":"RCM Manager LLC","detail":"Managing member in the 75% or more ownership band and a control person, since January 2015."},{"label":"Neal Aronson","detail":"Indirect owner: a managing member of RCM Manager LLC in the 75% or more band and a control person, since January 2015.","parent":"RCM Manager LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"1180 Peachtree Street Ne, Suite 2500","city":"Atlanta","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"404-591-5200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[],"privateFunds":14},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/160368/PDF/160368.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Roark Capital Management have?","answer":"Roark Capital Management has 14 clients and manages $34.2 billion for them, as of March 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Roark Capital Management offer?","answer":"Roark Capital Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Roark Capital Management have?","answer":"Roark Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 145 employees, and 104 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Roark Capital Management?","answer":"Roark Capital Management is owned through a holding company by Neal Aronson. Its direct owner is RCM Manager LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Roark Capital Management get paid?","answer":"Roark Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}