ROSECLIFF CAPITAL ADVISORY LLC
Adviser information for ROSECLIFF CAPITAL ADVISORY LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 171 | $26.4M |
| Non-Discretionary | 0 | $0 |
| Total | 171 | $26.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 51 | $1.7M |
| HNW Individuals | 128 | $24.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 26.4M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROSECLIFF CAPITAL ADVISORY PROGRAM | INTERACTIVE BROKERS LLC |
| ROSECLIFF CAPITAL ADVISORY PROGRAM | CHARLES SCHWAB & CO., INC. |
Identifiers
| SEC RIA File Number | 801-119344 |
|---|---|
| SEC ERA File Number | 801-119344 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305951 |
| Legal Entity Identifier | None |
Principal Office
767 5TH AVENUE34TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: (212) 404-7447, Fax: None
Websites
Chief Compliance Officer
PATRICK T. CROTTY
767 5TH AVENUE
34TH FLOOR
NEW YORK
NY
United States
Tel:
(917) 924-7054
C*****@*******************M
(Full email address available in API data)
Industry Affiliates
| ROSECLIFF VENTURE MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CASO, MICHAEL | Individual | – | MANAGING MEMBER/CHIEF EXECUTIVE OFFICER | 01/2020 | > 75% |
| CROTTY, PATRICK, T | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |