ELIOT ROSE WEALTH MANAGEMENT, LLC
Adviser information for ELIOT ROSE WEALTH MANAGEMENT, LLC last updated from Form ADV on March 22nd, 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 | Rhode Island, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 352 | $125.5M |
| Non-Discretionary | 0 | $0 |
| Total | 352 | $125.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 117 | $41.8M |
| HNW Individuals | 39 | $83.7M |
| 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 | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
1300 DIVISION ROADSUITE 301
WEST WARWICK
RI
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: (401) 588-5103, Fax: None
Chief Compliance Officer
JASON SIPERSTEIN
CHIEF COMPLIANCE OFFICER
1300 DIVISION ROAD
SUITE 301
WEST WARWICK
RI
United States
Tel:
(401) 588-5103
J**@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIPERSTEIN, GARY, STEVEN | Individual | – | MANAGING MEMBER | 04/2002 | 10-25% |
| SIPERSTEIN, JASON, ELIOT | Individual | – | CHIEF COMPLIANCE OFFICER, MEMBER | 01/2016 | > 75% |