Wholesale Investors Only · AFSL Authorised Representative

Institutional Investment Excellence for Sophisticated Investors

Rockford Capital Partners delivers premium asset management, investment advisory, and investment banking services exclusively to wholesale clients across Australia and Asia-Pacific.

A$10M+

Assets Under Management

3

Institutional Products

18%

Portfolio Annualised Return*

AFSL

Authorised Representative 001318592

Why Rockford Capital

Built for the Demands of Institutional Capital

Regulated & Compliant

Authorised Representative of TYJC Pty Ltd (AFSL 514 063), operating under rigorous ASIC regulatory oversight and full compliance with Australian financial services law.

Wholesale Focus

Exclusively serving wholesale clients, we offer access to investment strategies and structures unavailable to retail investors, with the sophistication your capital deserves.

Diversified Strategies

Three distinct products spanning global equities, hybrid growth funds, and diversified multi-asset strategies — providing genuine portfolio diversification across risk profiles.

Investment Banking

Full-spectrum advisory including M&A, IPO advisory and capital structuring — leveraging deep market relationships to deliver superior outcomes for our clients.

Our Investment Products

Three Strategies. One Platform.

Each product is designed to meet distinct investment objectives, offering wholesale clients access to institutional-grade strategies with transparent fee structures and rigorous risk management.

Global Equities

Investment Portfolio

A discretionary global equities strategy trading global secondary markets with a disciplined, research-driven approach focused on alpha generation.

18%

Annualised Return*

A$5M

AUM

Hybrid Growth

Rockford Hybrid Growth Fund

A hybrid unit trust combining fixed priority returns with floating performance-based allocations across healthcare, education and digital transformation sectors.

BBSW+10%

Class A Target Return

A$3M

AUM

Multi-Asset

Grand Ace Fund

A diversified multi-asset fund with a broad mandate spanning equities, derivatives, private equity, property, bonds and alternative investments.

Quarterly

Distributions

A$2M

AUM

Important: All products are available to wholesale clients only as defined under section 761G of the Corporations Act 2001. Past performance figures marked with * are not a reliable indicator of future performance. Investments involve risk including possible loss of principal. Please read all relevant product documentation before investing.

Advisory Services

Expert Advisory for Complex Transactions

From capital restructuring and M&A advisory to IPO execution and ongoing investment consulting, our team brings institutional-grade expertise to your most important financial decisions.

Asset Management

Discretionary portfolio management across asset classes with rigorous risk-adjusted return focus.

Investment Consulting

Strategic portfolio construction and asset allocation advisory tailored to wholesale investor objectives.

M&A Advisory

End-to-end M&A execution including target identification, due diligence, valuation and deal structuring.

IPO Advisory

Capital markets expertise for companies planning public listings, from preparation to exchange debut.

Get In Touch

Ready to Explore Institutional Investment Opportunities?

Speak with our team to discuss how Rockford Capital Partners can support your investment objectives. For wholesale investors only.

About Us

A Trusted Partner for Sophisticated Institutional Capital

Rockford Capital Partners is an Australian financial services firm dedicated to providing institutional-quality investment management and advisory services to wholesale clients.

Our Story

Institutional Quality. Client-Centred Values.

Rockford Capital Partners Pty Ltd was established with a clear mandate: to deliver institutional-grade investment management and advisory services to Australian and Asia-Pacific wholesale clients who demand more than what traditional financial services can offer.

Headquartered in North Sydney, we operate at the intersection of global capital markets, private investment, and strategic corporate advisory. Our team brings together expertise from global financial markets, private equity, and investment banking to deliver comprehensive solutions for sophisticated investors.

We operate as an Authorised Representative of TYJC Pty Ltd (AFSL 514 063), ensuring full regulatory compliance under the Australian Financial Services framework. Our commitment to transparency, rigorous risk management, and alignment of interests distinguishes us in the marketplace.

Our investment philosophy is grounded in fundamental research, disciplined risk management, and a long-term orientation. We seek to generate superior risk-adjusted returns for our clients while maintaining the highest standards of governance and compliance.

Regulatory Credentials

Company Name

Rockford Capital Partners Pty Ltd

ABN

93 688 012 580

AFS Auth. Rep No.

001318592

Authorised Under

TYJC Pty Ltd AFSL 514 063

Registered Address

Suite 102, 66 Berry Street, North Sydney NSW 2060

Client Type

Wholesale Clients Only

Our Core Values

Integrity First

We act with transparency and honesty in every client interaction and investment decision.

Research-Driven

Every investment decision is underpinned by rigorous fundamental analysis and proprietary valuation models.

Client Alignment

Our fee structures and investment approach are designed to align our interests with those of our clients.

Risk Discipline

Preserving capital is as important as growing it. We maintain rigorous risk controls across all strategies.

Leadership

Our Team

XL

Xi Li

Director & Portfolio Manager

Xi Li is the founding Director of Rockford Capital Partners, responsible for overall investment strategy, portfolio management and business direction. With deep expertise in global capital markets and private investment, Xi leads the firm's investment decision-making and client relationships across the Asia-Pacific region.

RC

Investment Committee

Institutional Governance

Rockford Capital's investment committee provides independent oversight and governance over all investment decisions. The committee applies rigorous due diligence standards, portfolio risk review, and ensures alignment with each fund's mandate and investment objectives.

CA

Compliance & Operations

Regulatory & Risk Management

Our compliance function operates under the oversight of TYJC Pty Ltd (AFSL 514 063) and ensures all activities adhere to Australian financial services law, ASIC regulatory requirements, AML/CTF obligations, and applicable international standards.

Investment Products

Three Strategies Designed for Institutional Capital

Our product suite is designed exclusively for wholesale clients seeking institutional-quality investment solutions with genuine diversification, transparency, and rigorous risk management.

Wholesale Investors Only: All products described on this page are available exclusively to wholesale clients as defined under section 761G of the Corporations Act 2001 (Cth). If you are uncertain about your eligibility, please for guidance.

Global Equities

Investment Portfolio

Global secondary markets. Discretionary management.

18%

Annualised Return (past performance)*

Our flagship Investment Portfolio is a discretionary global equities strategy that invests across global secondary markets. Leveraging deep research and a systematic approach to risk management, the portfolio has delivered an annualised return of approximately 18% since inception, with an AUM of A$5 million.

A$5M

Assets Under Management

18%

Annualised Return*

Global

Investment Universe

Hybrid Growth

Rockford Hybrid Growth Fund

Class A & B units. Priority + floating returns.

BBSW + 10%

Class A Priority Return (per annum)

The Rockford Hybrid Growth Fund is a wholesale unit trust offering two unit classes: Class A providing a fixed priority return of BBSW + 10% p.a., and Class B providing floating returns based on residual distributable income. The fund focuses on healthcare, professional education, and digital transformation sectors.

A$3M

AUM

A$500K

Min. Investment

2yr

Lock-up Period

Multi-Asset

Grand Ace Fund

Broad mandate. Alternative strategies.

Quarterly

Distribution Frequency

The Grand Ace Fund is a diversified multi-asset wholesale fund with a broad investment mandate spanning equities, derivatives, private equity, property, bonds, forex, and alternative investments. The fund provides exposure to a wide range of asset classes with active portfolio management and quarterly income distributions.

A$2M

AUM

A$100K

Min. Investment

3 mo.

Min. Holding Period

Investment Product

Investment Portfolio

Global Secondary Markets · Discretionary Management · Wholesale Clients Only

18%

Annualised Return (past performance)*

A$5M

Assets Under Management

Global

Investment Universe

Secondary

Market Focus

Portfolio Overview

Global Equity Strategy

Rockford Capital's Investment Portfolio is a discretionary global equities strategy that provides wholesale investors with actively managed exposure to global secondary markets. The portfolio is managed with a fundamental research-driven approach, seeking alpha generation through rigorous stock selection and disciplined risk management.

The strategy targets opportunities across developed and emerging markets, with a focus on identifying mispriced securities with strong underlying fundamentals. Our investment process combines top-down macroeconomic analysis with bottom-up company research to construct a concentrated portfolio of high-conviction positions.

Since inception, the portfolio has delivered an annualised return of approximately 18%, outperforming broad market benchmarks. The portfolio is managed with strict risk controls including position limits, stop-loss disciplines and regular portfolio rebalancing.

Investment Approach

01

Macroeconomic Analysis

Top-down assessment of global economic conditions, sector dynamics and market cycles to inform asset allocation and regional exposure.

02

Fundamental Research

Rigorous bottom-up analysis of individual securities using proprietary valuation models, financial modelling and qualitative assessment.

03

Risk Management

Systematic portfolio risk management with defined position limits, concentration controls and ongoing monitoring of market exposures.

04

Active Monitoring

Continuous monitoring of portfolio holdings and market conditions with disciplined rebalancing to maintain optimal risk-return profile.

Portfolio Summary

Strategy Type	Global Equities (Discretionary)
Market Focus	Global Secondary Markets
AUM	A$5,000,000
Annualised Return*	~18% p.a.
Currency	AUD
Manager	Rockford Capital Partners
Investor Type	Wholesale Clients Only
Reporting	Monthly

Eligibility & Access

This portfolio is available exclusively to wholesale clients as defined in section 761G of the Corporations Act 2001. To discuss investment terms and access, please contact our team.

No obligation. Confidential enquiry.

Performance

Portfolio Performance

Past Performance Disclaimer: Past performance is not a reliable indicator of future performance. The performance data shown below reflects historical returns only and does not guarantee future results. Returns shown are before fees and taxes unless otherwise indicated. Investment in this portfolio involves risk including possible loss of principal.

Portfolio Cumulative Return

Portfolio cumulative return as at 10 February 2026. Past performance is not indicative of future performance.

Portfolio vs S&P 500 (AUD) — Cumulative Return

Cumulative return comparison: Rockford Portfolio vs S&P 500 ETF (SPY) in AUD terms. Past performance is not a reliable indicator of future performance.

Excess Return vs SPY (AUD)

Cumulative excess return (in percentage points) of the Rockford Portfolio over SPY (AUD). Past performance is not a reliable indicator of future returns.

Interested in the Investment Portfolio?

Contact our team to discuss eligibility, investment terms and portfolio access. For wholesale investors only.

Investment Fund

Rockford Hybrid Growth Fund

Unregistered Managed Investment Scheme · Unit Trust · Wholesale Clients Only

BBSW+10%

Class A Priority Return p.a.

A$3M

Assets Under Management

A$500K

Minimum Investment

24 mo

Lock-up Period

Fund Overview

A Hybrid Structure for Diverse Return Profiles

The Rockford Hybrid Growth Fund (RHG Fund) is an unregistered managed investment scheme structured as a unit trust, established under the Corporations Act 2001. The fund is designed exclusively for wholesale clients and offers two distinct unit classes to cater to varying risk-return preferences.

The fund focuses on three high-growth sectors — healthcare and wellbeing, professional education, and digital transformation with AI — seeking to capitalise on structural tailwinds and generating strong risk-adjusted returns for investors.

Class A Units

Priority Return Units

BBSW + 10%

Fixed priority return per annum, payable semi-annually. Investors receive priority distributions before Class B unitholders.

Class B Units

Floating Return Units

Performance-Based

Floating return based on residual distributable income after Class A distributions. Higher potential upside with commensurate risk.

Target Sectors

Healthcare & Wellbeing

Targeting the healthcare sector exhibiting 6%+ CAGR growth, driven by ageing demographics, digital health innovation and increased healthcare spending globally.

Professional Education

Capitalising on the professional education sector with 5% CAGR expansion, underpinned by demand for upskilling, digital learning platforms and corporate training.

Digital Transformation & AI

Positioned in the digital transformation wave, with AI-powered technologies representing 40%+ of USD 3.9 trillion global technology spending by 2027.

Key Investment Terms

Structure	Unit Trust (Unregistered)
Min. Initial Investment	A$500,000
Min. Additional Investment	A$10,000
Lock-up Period	24 months from issue
Distributions	Semi-annual
Benchmark	BBSW + 3% p.a.
Unit Pricing	Quarterly
Withdrawals (post lock-up)	A$10K–$200K/month
Eligible Investors	Wholesale clients only

Fees & Costs

Management Fee	2.00% p.a. of GAV
Performance Fee	20% above BBSW + 3%
Trustee Fee	0.06% p.a. of GAV (min A$10K)
Admin & Audit	At cost

Trustee & Manager

Trustee: TYJC Pty Ltd (AFSL 514 063)

Investment Manager: Rockford Capital Partners Pty Ltd (Authorised Representative 001318592)

Investment Process

Four-Pillar Investment Framework

01

Industry Engagement

Active engagement with industry participants to identify early-stage investment opportunities, build proprietary deal flow and gain competitive information advantages.

02

Market Intelligence

Systematic access to listed market resources, research databases and sector intelligence to inform investment decisions and portfolio positioning.

03

Operational Focus

Strong emphasis on cash flow generation and operational innovation when evaluating investee companies, prioritising businesses with sustainable competitive advantages.

04

Proprietary Valuation

Rigorous due diligence supported by proprietary valuation models incorporating sector-specific metrics, scenario analysis and stress testing.

Important Disclosure: The Rockford Hybrid Growth Fund is an unregistered managed investment scheme available to wholesale clients only. A copy of the Information Memorandum (IM) is available upon request and should be read in full before making any investment decision. This is not a product disclosure statement and does not constitute personal financial advice. Investors should obtain independent financial, legal and tax advice before investing. Past performance is not a reliable indicator of future performance. Investment returns are not guaranteed and investors may lose some or all of their investment.

Investment Fund

Grand Ace Fund

Multi-Asset Wholesale Fund · Unit Trust · Wholesale Clients Only

A$2M

Assets Under Management

A$100K

Minimum Investment

Quarterly

Distribution Frequency

3 mo

Min. Holding Period

Fund Overview

A Broad Mandate for Diversified Exposure

The Grand Ace Fund is a diversified multi-asset wholesale managed fund structured as a unit trust. The fund offers wholesale investors a broad investment mandate, providing active exposure to a wide spectrum of asset classes and markets managed by Rockford Capital Partners.

The fund pursues absolute return objectives through dynamic asset allocation, employing both long and alternative investment strategies. With a minimum holding period of just three months and quarterly income distributions, the fund balances accessibility with genuine diversification.

Investment Universe

📈

Equities

Listed securities across global equity markets

📊

Derivatives

Options, futures, CFDs and forward contracts

💱

Foreign Exchange

Spot and forward FX positions

🏢

Private Equity

Direct investment in private companies

🏗️

Property

Real property and property-related securities

💼

Fixed Income

Bonds, private debt and managed funds

Investment Approach

Rockford Capital Partners exercises absolute discretion over the fund's investment decisions, deploying capital opportunistically across asset classes based on prevailing market conditions, risk-adjusted return assessments, and portfolio construction principles.

The fund's broad mandate allows the investment manager to pivot rapidly across markets and asset classes, capturing opportunities that more constrained mandates cannot access. Risk management is integrated throughout the investment process, with defined exposure limits and ongoing portfolio monitoring.

Key Investment Terms

Structure	Unit Trust
Initial Unit Price	A$1.00 per unit
Min. Investment	A$100,000
Min. Holding Period	3 months
Distributions	Quarterly
Redemption Processing	Within 30 business days
Governing Law	New South Wales, Australia
Eligible Investors	Wholesale clients only

Fees & Costs

Management Fee	Determined by manager with 30-day notice
Trustee Fee	A$20,000 p.a. (AUM below A$8M)
Complaint Resolution	20 BD acknowledge / 60 days resolve

Trustee & Manager

Trustee & Manager: Rockford Capital Partners Pty Ltd
Authorised Representative 001318592 of TYJC Pty Ltd AFSL 514 063

Important Disclosure: The Grand Ace Fund is an unregistered managed investment scheme available to wholesale clients only as defined under section 761G of the Corporations Act 2001 (Cth). The Trust Deed governing this fund should be read in full before making any investment decision. This information does not constitute personal financial or investment advice. Investors should obtain independent professional advice before investing. Investments involve risk including possible loss of capital. The investment manager exercises absolute discretion over investment decisions. Past performance, if any, is not indicative of future returns.

Advisory Services

Strategic Advisory for Institutional Transactions

Rockford Capital Partners provides comprehensive investment advisory and investment banking services to wholesale clients, delivering institutional expertise across the full transaction lifecycle.

Our Services

Three Core Advisory Capabilities

Asset Management

Discretionary portfolio management services for wholesale investors seeking institutional-grade asset management with rigorous risk controls and transparent reporting.

Discretionary portfolio management
Multi-asset portfolio construction
Risk-adjusted return optimisation
Regular performance reporting
Portfolio rebalancing and monitoring

Investment Consulting

Strategic investment consulting for wholesale clients requiring expert guidance on asset allocation, portfolio strategy, manager selection, and investment policy development.

Strategic asset allocation
Investment policy statement development
Manager due diligence and selection
Portfolio construction advisory
ESG and thematic investment guidance

Investment Banking

Full-service investment banking advisory for mergers and acquisitions, IPOs, capital raisings, and corporate restructuring transactions in Australia and Asia-Pacific.

M&A advisory (buy-side & sell-side)
IPO preparation and execution
Capital markets advisory
Due diligence coordination
Transaction structuring and valuation

Our Process

How We Work With Clients

01

Initial Consultation

We begin with a confidential consultation to understand your objectives, investment mandate, timeline and specific requirements.

02

Strategy & Proposal

Our team develops a tailored strategy and formal proposal outlining our recommended approach, scope and fee structure.

03

Execution & Management

We execute the agreed strategy with rigorous project management, regular client communication and transparent reporting throughout.

04

Review & Reporting

Comprehensive reporting, performance review, and ongoing advisory support to ensure continued alignment with your objectives.

Who We Serve

Exclusively for Wholesale Clients

Our advisory services are available exclusively to wholesale clients as defined under the Corporations Act 2001. This includes institutional investors, high-net-worth individuals, corporations, trusts, and family offices that meet the wholesale investor criteria.

We work with clients across Australia and Asia-Pacific, providing cross-border investment expertise and deep connections in both markets.

Institutional Investors

Superannuation funds, insurance companies, endowments and sovereign wealth funds.

High-Net-Worth Individuals

Sophisticated private investors and family offices meeting wholesale investor criteria.

Corporate Clients

Companies and corporate treasury functions requiring strategic investment or M&A advisory.

Asia-Pacific Investors

International wholesale investors seeking Australian market access and cross-border expertise.

General Advice Warning: The advisory services described on this page constitute general financial product advice only and have been prepared without taking into account your personal objectives, financial situation or needs. You should consider whether this advice is appropriate for your circumstances and obtain independent professional advice before acting on it. Rockford Capital Partners Pty Ltd (ABN 93 688 012 580) is an Authorised Representative (001318592) of TYJC Pty Ltd (AFSL 514 063). Services are available to wholesale clients only.

Get In Touch

Contact Rockford Capital Partners

Let's Discuss Your Investment Objectives

We welcome enquiries from qualified wholesale investors, institutional clients, and intermediaries. All enquiries are treated with strict confidentiality.

Office Address

Suite 102, 66 Berry Street
North Sydney NSW 2060
Australia

Email

admin@rockford-capital.com

Regulatory Details

ABN: 93 688 012 580
AFS Auth. Rep: 001318592
Authorised under TYJC Pty Ltd AFSL 514 063

Note: All enquiries are for wholesale clients only. We may request evidence of wholesale investor status as required by law before providing detailed investment information.

Send an Enquiry

First Name *

Last Name *

Email Address *

Company / Organisation

Area of Interest *

Investor Type *

Message

By submitting this form, you confirm you are a wholesale client as defined under the Corporations Act 2001. All information is treated in strict confidence. Please refer to our for details on how we handle your information.

Legal

Legal Notices & Disclosures

1. General Advice Warning

The information provided on this website is general in nature and has been prepared without taking into account your personal objectives, financial situation or needs. Before acting on any information on this website, you should consider the appropriateness of the information having regard to your objectives, financial situation and needs, and seek independent professional financial, legal and tax advice.

2. Wholesale Clients Only

This website and all information contained herein is intended solely for wholesale clients as defined under section 761G of the Corporations Act 2001 (Cth). Access to and use of this website by retail clients is not permitted. If you are not a wholesale client, please exit this website immediately.

3. Regulatory Disclosure

Rockford Capital Partners Pty Ltd (ABN 93 688 012 580) is a Corporate Authorised Representative (Authorised Representative Number 001318592) of TYJC Pty Ltd (Australian Financial Services Licence No. 514 063).

Registered office: Suite 102, 66 Berry Street, North Sydney NSW 2060, Australia.

4. Past Performance Disclaimer

Any reference to past performance on this website is not a reliable indicator of future performance. Investment returns are not guaranteed and investors may lose some or all of their invested capital. The value of investments and the income derived from them can fluctuate and may fall as well as rise.

5. No Personal Advice

Nothing on this website constitutes personal financial product advice. Rockford Capital Partners Pty Ltd does not provide personal financial advice. You should always obtain advice from a qualified financial adviser who is aware of your personal financial circumstances before making any investment decision.

6. Investment Risk Warning

All investments carry risk. The level of risk varies depending on the investment strategy and asset classes involved. You should carefully consider the risks associated with any investment, including:

Market risk — the risk that the value of your investment may fall due to adverse market conditions
Liquidity risk — the risk that you may not be able to sell your investment when you wish to do so
Credit risk — the risk that a counterparty defaults on their obligations
Currency risk — for investments denominated in foreign currencies
Concentration risk — from concentrated positions in specific sectors or securities
Regulatory and compliance risk — changes in laws or regulations may adversely affect investment returns

7. No Offer

Nothing on this website constitutes an offer, invitation, solicitation or recommendation to buy or sell any financial product or to engage in any investment activity. Any offer to invest in any product managed by Rockford Capital Partners will be made only through the relevant Information Memorandum or Trust Deed, copies of which are available to eligible wholesale investors on request.

8. Privacy Policy

Rockford Capital Partners Pty Ltd is committed to protecting the privacy of individuals whose personal information we hold. We collect, use and disclose personal information in accordance with the Privacy Act 1988 (Cth) and the Australian Privacy Principles. Personal information submitted through this website will only be used to respond to your enquiry or to provide services you have requested.

We do not sell, trade or otherwise transfer your personal information to third parties without your consent, except where required by law or as necessary to provide the services requested.

9. Terms of Use

By accessing this website, you agree to these terms. Rockford Capital Partners Pty Ltd makes no representation or warranty as to the accuracy, completeness or currency of information on this website. We reserve the right to modify or discontinue any part of this website at any time without notice.

This website is governed by the laws of New South Wales, Australia. You submit to the non-exclusive jurisdiction of the courts exercising jurisdiction in New South Wales.

10. Complaints

If you have a complaint about our services, please contact us in writing. We will acknowledge your complaint within 20 business days and endeavour to resolve it within 60 days. If your complaint is not resolved to your satisfaction, you may contact the Australian Financial Complaints Authority (AFCA) at www.afca.org.au or call 1800 931 678.

Rockford Capital Partners Pty Ltd · ABN 93 688 012 580 · AFS Authorised Representative 001318592 · Authorised under TYJC Pty Ltd AFSL 514 063 · Suite 102, 66 Berry Street, North Sydney NSW 2060 · © 2025 Rockford Capital Partners Pty Ltd. All rights reserved.