ROSSBY FINANCIAL, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	8
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	8
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	8
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	541	$107.3M
Non-Discretionary	0	$0
Total	541	$107.3M

Clients

Type	Number	RAUM
Individuals	125	$32.0M
HNW Individuals	207	$75.3M
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
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)FAMILY OFFICE SERVICES
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	107.3M

Portfolio Manager to Program	Sponsor
ROSSBY FINANCIAL LLC	ROSSBY FINANCIAL, LLC

Identifiers

SEC RIA File Number	801-127370
SEC ERA File Number	801-127370
SEC CIK Numbers	None
SEC CRD Numbers	324631
Legal Entity Identifier	None

Principal Office

2413 IRWIN STREET
MELBOURNE
FL
United States

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic