{"url":"https://nivawealth.com/firms/rock-island-capital-161623","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161623","regulatoryAum":636558000,"crd":"161623","history":[{"filedOn":"2021-04-27","regulatoryAum":481800000,"clients":12,"employees":8,"offices":1},{"filedOn":"2022-05-09","regulatoryAum":607000000,"clients":12,"employees":8,"offices":1},{"filedOn":"2023-05-11","regulatoryAum":505851000,"clients":12,"employees":8,"offices":1},{"filedOn":"2024-04-12","regulatoryAum":590904000,"clients":15,"employees":10,"offices":1},{"filedOn":"2025-04-07","regulatoryAum":631724000,"clients":15,"employees":10,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":636558000,"clients":13,"employees":10,"offices":1}],"secFileNumber":"801-76979","legalName":"Rock Island Capital, LLC","displayName":"Rock Island Capital","slug":"rock-island-capital-161623","website":"https://rockislandcapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/161623/8fd8c3f4b3272c4a-r1.webp","tone":"dark","width":717,"height":200,"sourceUrl":"https://www.rockislandcapital.com/","sourceLabel":"Rock Island Capital, website"},"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/rockislandcapital/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1415 W 22nd Street, Suite 1250","city":"Oak Brook","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60523"},"tradeNames":[],"registration":{"secApproved":"6 August 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":10,"advisory":10,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":636558000,"discretionary":636558000,"discretionaryAccounts":13,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":13,"regulatoryAum":636558000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Rock Island Capital has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Zofia Mietus","title":"Chief Compliance Officer, Chief Financial Officer","crd":"6272076"},{"name":"Brian Bastedo","title":"Partner, Managing Member","crd":"7043724"},{"name":"Alfred Mattaliano","title":"Partner, Managing Member","crd":"2003492"},{"name":"Michael Nugent","title":"Partner, Managing Member","crd":"4261706"}],"ownership":[{"label":"Alfred Mattaliano","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since December 2005."},{"label":"Michael Nugent","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since December 2005."},{"label":"Brian Bastedo","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since January 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"1415 W 22nd Street, Suite 1250","city":"Oak Brook","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"630-413-9136","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Other"],"financialPlanningClients":null,"assetMix":[],"privateFunds":13},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161623/PDF/161623.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rock Island Capital have?","answer":"Rock Island Capital has 13 clients and manages $637 million for them, as of March 2026. They include 13 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rock Island Capital offer?","answer":"Rock Island Capital 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 Rock Island Capital have?","answer":"Rock Island Capital has 0 investment adviser representatives registered with state securities authorities, out of 10 employees, and 10 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 Rock Island Capital?","answer":"Rock Island Capital’s direct owners are Alfred Mattaliano, Michael Nugent and Brian Bastedo, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rock Island Capital get paid?","answer":"Rock Island Capital is paid through a percentage of assets under management, performance-based fees and other compensation. 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"}},{"question":"How do I contact Rock Island Capital?","answer":"Rock Island Capital’s main office is at 1415 W 22nd Street, Suite 1250, Oak Brook, IL 60523. Its phone number is 630-413-9136. Its website is rockislandcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}