ROK is an independent research advisory firm. We guide you to minimize the information gap between foreign and local investors in Northeast Asia with a focus in Korea, Taiwan and Japan.
Minority Shareholder Advocates
Equal dissemination of information
Conduit into Asia corporates
Medium of communication between management and investors
Consulting into capital allocation
Outsourced due diligence
Founder • CEO
Ken has 24 years of sell side experience ranging from investment banking, the equity research, to hedge fund analyst to research sales. He has extensive experience in Asia equities having first dealt with it during the IMF Monetary crisis in 1999. He also lived in Asia (Singapore, South Korea) covering Asian companies as well as working as a buyside analyst before moving to the US. Ken has a Bachelors of Business Administration from the University of Michigan. Ken is bilingual in English and Korean.
Director of Quality Control
Soohyun has 12 years of experience in Asian equity sales, mainly as a Korea specialist, having worked at Deutsche Bank, Hyundai Securities, and Samsung Securities. She holds a Masters in Financial Engineering from the Haas School of Business at UC Berkeley and a BA in Business from Yonsei University. Soo has worked in South Korea and is bilingual. She currently resides in NY with her husband and two children.
ROK Advisory LLC is a Limited Liability Company organized under the laws of the State of New Jersey, Certificate of Formation No. 0450463000.
ROK Advisory offers independently prepared summaries on Asian themed commercial businesses for distribution to U.S. based portfolio managers and investment professionals. The Company publishes and distributes industry commentary to its clients. The Company compiles and summarizes daily news from diverse sources which are believed to be reliable and accurate but does not guarantee the completeness of material contained herein The Company does not receive compensation from the subject companies for the substance in the summaries. The Company does not publish research on private or publicly traded companies, or offer opinions, forecasts or recommendations in printed materials or verbally. The Company does not publish research reports as that term is understood under FINRA Rules 2241 and 2242 or any interpretation thereof. The Company does not offer brokerage services, securities execution services in public markets, conduct investment banking activities, accept or otherwise handle client trade orders, engage in proprietary trading or act as a finder or introducing broker-dealer. The Company does not offer investment advisory services, private funds or manage pooled investment vehicles. ROK Advisory is not registered or licensed with the Securities and Exchange Commission or the Financial Industry Regulatory Authority. The content of this document is the property of ROK Advisory and is protected by applicable copyright, trade secret or other intellectual property laws (of the United States and other countries). U.S. law, 17 U.S.C. Sec.501 et seq, provides for civil and criminal penalties for copyright infringement. All rights reserved. Copyright 2020.