Rok & Dire LLC is not a registered securities broker-dealer or an investment adviser with the U.S. Securities and Exchange Commission (the “SEC”) or with any state securities regulatory authority. Rok & Dire LLC, its managers or affiliates have not been registered and do not plan to be registered under the Investment Advisers Act of 1940 or any similar state or foreign securities laws. Rok & Dire LLC is not registered under the Investment Company Act of 1940 or under any similar state or international securities laws.
Rok & Dire LLC manages assets in a variety of industries and is aligned with family offices providing investors with securities-backed, non-recourse loans. Our borrowers often hold shares that are hard to deposit or are ineligible for a margin loan from their broker. We help solve their liquidity problems.