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Markets Served

Collaboration and customization are the cornerstones of our business model and we tailor our services to meet each client’s unique needs. We currently advise on over $650 billion in assets from retirement plans, insurance companies, endowments, foundations and financial intermediaries.

Defined Benefit

Approximately half of Rocaton’s clients utilize our defined benefit consulting services. Rocaton partners with plan sponsors to review the relevant aspects that affect investment portfolios, including assistance with the development of an Investment Policy Statement we consider best-in-class and assisting with governance and monitoring. With an average of more than 24 years of industry experience, our senior research and consulting professionals have helped our defined benefit clients navigate a wide variety of market cycles.

We view our role as providing objective and independent insights on potential asset classes, investment strategies and specific investments across both public and private markets. From asset allocation to performance monitoring we work closely with clients to customize our services and recommendations to their specific situations and needs.

Defined Contribution

More than half of Rocaton’s clients utilize our defined contribution plan consulting services. We currently advise defined contribution plans with participant populations ranging from less than 1,000 to over 100,000. We partner with our clients in developing an appropriate menu of investment options and in the implementation and monitoring of the options. We work closely with our clients to develop investment programs that offer participants the ability to access, or construct, well-diversified portfolios at various levels of expected risk and return.

We assist plan sponsors in fulfilling their fiduciary responsibilities by helping to implement programs and policies designed to improve participation rates, reduce expenses and optimize the mix of investment options for participants. In addition, we tailor client education programs to address the unique needs of each client.

Endowments and Foundations

A number of endowments and foundations have chosen to partner with Rocaton for our flexibility and customized approach. At the onset of each relationship, we develop a thorough understanding of the objectives and strategy of the endowment or foundation. We focus on the organization’s spending needs, degree of reliance on the endowment or foundation assets to meet the organization’s objectives, and risk tolerance.

Working closely with our endowment or foundation clients, we develop a process to study a wide range of asset classes and strategies, provide recommendations or enhancements to the current investment portfolio, potentially including additional diversifying asset classes and manager searches, where necessary.

Financial Intermediaries

Rocaton has partnered with financial intermediaries since the firm’s inception in 2002. We have extensive experience developing model asset allocation portfolios and constructing investment programs, as well as recommending mutual funds, separate account managers and sub-advisors for distribution to the retail, high net worth, and institutional channels.

Rocaton has partnered with financial intermediaries since the firm’s inception in 2002. We have extensive experience developing model asset allocation portfolios and constructing investment programs, as well as recommending mutual funds, separate account managers and sub-advisors for distribution to the retail, high net worth, and institutional channels.

The services we provide to our financial intermediary clients typically include:

  • Manager search and recommendations
  • Research reports on current managers
  • Analysis of multi-manager portfolio construction
  • Quarterly performance reporting and analysis
  • Ongoing discussions regarding industry trends and potential new product ideas
  • Ongoing dialogue regarding personnel and organizational changes with investment managers engaged by the financial intermediary

Healthcare Systems

Since our inception, Rocaton has worked with healthcare organizations, including health systems and other nonprofit clients. Typically, we advise our healthcare industry clients on multiple portfolios, which may include defined benefit, defined contribution, operating assets and endowment/foundation asset pools. We work closely with our healthcare industry clients to develop and monitor diversified investment portfolios that consider factors such as liquidity requirements, the need to maintain investment principal, and restrictions imposed by statutory reserve requirements.

Identifying high quality investment managers willing to manage portfolios in accordance with specific guidelines imposed by healthcare systems can be a challenge. We have helped clients to navigate these challenges by focusing on gain/loss considerations, prohibited investments, concentration limits and separate account requirements.

Insurance Companies

As an organization, Rocaton has partnered with insurance companies since 2002. We work closely with each insurance client to understand their business goals and investment objectives, mindful of the specific limitations to which they are subject, including statutory, rating agency, tax and capital requirements. Our investment professionals have extensive experience advising clients, and we approach insurance investment advice for clients from an enterprise-wide perspective. Importantly, Rocaton’s insurance practice draws upon expertise and resources across the firm, particularly asset allocation and manager research.

Private Wealth

Family offices, as well as high net worth individuals and families have partnered with Rocaton for assistance with generational wealth preservation.

Services we provide to our private wealth clients include:

  • Strategic asset allocation
  • Manager search and selection
  • Research reports on current managers
  • Advice on mandates currently employed or under consideration
  • Quarterly performance reporting and analysis
  • Ongoing discussions regarding industry trends and potential new investment ideas

In addition to traditional investment consulting services, we partner with our private wealth clients to help address the following questions:

  • What is a “safe” asset class today?
  • How much inflation do we expect in coming years?
  • What assets should a taxable investor hold?
  • What fee levels are appropriate?

20 Glover Avenue, Norwalk, CT 06850
+1 203.621.1700
info@rocaton.com
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As of April 1, 2019, Rocaton was acquired by Goldman Sachs.

THESE MATERIALS ARE PROVIDED SOLELY ON THE BASIS THAT THEY WILL NOT CONSTITUTE INVESTMENT ADVICE AND WILL NOT FORM A PRIMARY BASIS FOR ANY PERSON’S OR PLAN’S INVESTMENT DECISIONS, AND GOLDMAN SACHS IS NOT A FIDUCIARY WITH RESPECT TO ANY PERSON OR PLAN BY REASON OF PROVIDING THE MATERIAL OR CONTENT HEREIN. PLAN FIDUCIARIES SHOULD CONSIDER THEIR OWN CIRCUMSTANCES IN ASSESSING ANY POTENTIAL INVESTMENT COURSE OF ACTION.
THIS MATERIAL DOES NOT CONSTITUTE AN OFFER OR SOLICITATION IN ANY JURISDICTION WHERE OR TO ANY PERSON TO WHOM IT WOULD BE UNAUTHORIZED OR UNLAWFUL TO DO SO.

This material is provided for informational purposes only and should not be construed as investment advice or an offer or solicitation to buy or sell securities.

All investing involves risks, including possible loss of the principal amount invested.
Views and opinions expressed are for informational purposes only and do not constitute a recommendation by Rocaton to buy, sell, or hold any security. Views and opinions are current as of the date mentioned and may be subject to change, they should not be construed as investment advice.

This information discusses general market activity, industry or sector trends, or other broad-based economic, market or political conditions and should not be construed as research or investment advice. This material has been prepared by Rocaton and is not financial research nor a product of Goldman Sachs Global Investment Research (GIR). It was not prepared in compliance with applicable provisions of law designed to promote the independence of financial analysis and is not subject to a prohibition on trading following the distribution of financial research. The views and opinions expressed may differ from those of Goldman Sachs Global Investment Research or other departments or divisions of Goldman Sachs and its affiliates. Investors are urged to consult with their financial advisors before buying or selling any securities. This information may not be current and Rocaton has no obligation to provide any updates or changes.

Rocaton does not provide legal, tax or accounting advice to its clients. All investors are strongly urged to consult with their legal, tax, or accounting advisors regarding any potential transactions or investments. There is no assurance that the tax status or treatment of a proposed transaction or investment will continue in the future. Tax treatment or status may be changed by law or government action in the future or on a retroactive basis.

Hedge funds and other private investment funds (collectively, “Alternative Investments”) are subject to less regulation than other types of pooled investment vehicles such as mutual funds. Alternative Investments may impose significant fees, including incentive fees that are based upon a percentage of the realized and unrealized gains and an individual’s net returns may differ significantly from actual returns. Such fees may offset all or a significant portion of such Alternative Investment’s trading profits. Alternative Investments are not required to provide periodic pricing or valuation information. Investors may have limited rights with respect to their investments, including limited voting rights and participation in the management of such Alternative Investments.

Alternative Investments often engage in leverage and other investment practices that are extremely speculative and involve a high degree of risk. Such practices may increase the volatility of performance and the risk of investment loss, including the loss of the entire amount that is invested. There may be conflicts of interest relating to the Alternative Investment and its service providers, including Goldman Sachs and its affiliates. Similarly, interests in an Alternative Investment are highly illiquid and generally are not transferable without the consent of the sponsor, and applicable securities and tax laws will limit transfers.
Equity securities are more volatile than bonds and subject to greater risks. Small and mid-sized company stocks involve greater risks than those customarily associated with larger companies.
Bonds are subject to interest rate, price and credit risks. Prices tend to be inversely affected by changes in interest rates. Typically, when interest rates rise, there is a corresponding decline in the market value of bonds.
High yield fixed income securities are considered speculative, involve greater risk of default, and tend to be more volatile than investment grade fixed income securities. High yield, lower rated investments involve greater price volatility and present greater risks than higher rated fixed income securities
Investments in commodities may be affected by changes in overall market movements, commodity index volatility, changes in interest rates or factors affecting a particular industry or commodity.
Mortgage-backed securities are also subject to prepayment risk (i.e., the risk that in a declining interest rate environment, issuers may pay principal more quickly than expected.
Emerging markets securities may be less liquid and more volatile and are subject to a number of additional risks, including but not limited to currency fluctuations and political instability.
Bank loans have speculative characteristics including the risk of non-payment of principal and interest. Other risks include insolvency, collateral impairment, illiquidity and the risk of bankruptcy. Floating rate securities are generally below investment grade (high-yield securities) and carry increased risks of price volatility, underlying issuer creditworthiness, liquidity and the possibility of default in the timely payment of interest and principal.
Private equity and real estate investments are speculative, highly illiquid, involve a high degree of risk, have high fees and expenses that could reduce returns, and subject to the possibility of partial or total loss of capital; they are, therefore, intended for experienced and sophisticated long-term investors who can accept such risks. Real estate risks include, but are not limited to, fluctuations in the real estate markets, the financial conditions of tenants, changes in building, environmental, zoning and other laws, changes in real property tax rates, changes in interest rates and the availability or terms of debt financing, changes in operating costs, risks due to dependence on cash flow, environmental liabilities, uninsured casualties, unavailability of or increased cost of certain types of insurance coverage, fluctuations in energy prices, and other factors.

Although certain information has been obtained from sources believed to be reliable, we do not guarantee its accuracy, completeness or fairness. We have relied upon and assumed without independent verification, the accuracy and completeness of all information available from public sources.
Economic and market forecasts presented herein reflect a series of assumptions and judgments as of the date mentioned and are subject to change without notice. These forecasts do not take into account the specific investment objectives, restrictions, tax and financial situation or other needs of any specific client. Actual data will vary and may not be reflected here. These forecasts are subject to high levels of uncertainty that may affect actual performance. Accordingly, these forecasts should be viewed as merely representative of a broad range of possible outcomes. These forecasts are estimated, based on assumptions, and are subject to significant revision and may change materially as economic and market conditions change. Rocaton has no obligation to provide updates or changes to these forecasts. Case studies and examples are for illustrative purposes only.
The information and services provided on this web site are intended for persons in the US only.