DESERT ROSE CAPITAL MANAGEMENT, INC.
Adviser information for DESERT ROSE CAPITAL MANAGEMENT, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Idaho, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 454 | $71.2M |
| Non-Discretionary | 247 | $46.0M |
| Total | 701 | $117.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 323 | $21.2M |
| HNW Individuals | 105 | $23.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $16.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 4 | $56.4M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)SUB-ADVISOR TO OTHER REGISTERED INVESTMENT ADVISERS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-124883 |
|---|---|
| SEC ERA File Number | 801-124883 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154331 |
| Legal Entity Identifier | None |
Principal Office
2929 W. NAVIGATOR DRIVESTE. 300
MERIDIAN
ID
United States
Monday - Friday, 9AM-5PM
Tel: 208 297-2710, Fax: 208-209-6014
Chief Compliance Officer
MAUSMI PALA
2929 W. NAVIGATOR DRIVE
STE. 300
MERIDIAN
ID
United States
Tel:
630.300.8858
Fax:
208-209-6014
M*****@********************M
(Full email address available in API data)
Industry Affiliates
| ASPEN LIFE SETTLEMENTS | Insurance company or agency |
| CASH VALUE FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PROVIDER OF INSURANCE POLICY LOANS AND SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STAFFORD, KIRK, ALAN | Individual | – | PRESIDENT & CHIEF EXECUTIVE OFFICER | 06/2010 | > 75% |
| PALA, MAUSMI | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |