Rosecap Investment Advisors, Llc
- Regulatory AUM
- $528M
- Discretionary
- $526M
- Clients
- 747
- Avg AUM / client
- $706K
- Accounts
- 746
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 433 | $71.3M | 13.5% |
| High net worth individuals | 288 | $426M | 80.8% |
| Charitable organizations | 5 | $9.4M | 1.77% |
| State or municipal government entities | 1 | $64 | 0.0% |
| Corporations and other businesses | 20 | $20.5M | 3.89% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Matthew Hamilton Rosenberg | Managing Director | Jan 2010 (17y) | ≈ 56.25% – 100% via Rosecap Financial Advisors, Llc | |
| Schultz, Autumn, Marie | Chief Compliance Officer | Oct 2020 (6y) | Less than 5% | |
| Ethan H. Corman | Registered representative | CFA | Mar 2022 (4y) | |
| Sarah L Graff | Registered representative | Nov 2022 (4y) | ||
| Heather Dianne Holtzinger | Registered representative | CFP | Apr 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rosecap Financial Advisors, Llc | Parent Company | Jan 2010 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Matthew Hamilton Rosenberg: 75% – 100% of Rosecap Financial Advisors, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 909 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $7.0M (1% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 11, 2026.
View current Form ADV (SEC/IAPD) ↗