ROTHSCHILD & CO ASSET MANAGEMENT US INC.
Adviser information for ROTHSCHILD & CO ASSET MANAGEMENT US INC. last updated from Form ADV on March 29th, 2023. 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 | New York, United States |
Employees
| Total Number of Employees | 31 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 7 |
| 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 | 1,107 | $6.5B |
| Non-Discretionary | 0 | $0 |
| Total | 1,107 | $6.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 874 | $407.2M |
| HNW Individuals | 116 | $262.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $3.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $1.2B |
| Pension and profit sharing plans | 14 | $493.0M |
| Charitable organizations | 39 | $183.8M |
| State or municipal gov entities | 9 | $252.8M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 34 | $320.3M |
| Other | 5 | $5.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1456 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based feesFULCRUM FEE; ASSET-BASED FEE CONTINGENT ON PERFORMANCE |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 736.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT UMA AND CORPORATE EQUITY SOLUTIONS (CES) | MORGAN STANLEY SMITH BARNEY LLC |
| MANAGER OF MANAGERS PROGRAM | BRINKER CAPITAL INC. |
| SMARTX ADVISORY SOLUTIONS | AMERICAN PORTFOLIO ADVISORS, INC. |
| ACCESS ADVISORY PROGRAM AND STRATEGIC WEALTH PORTFOLIO PROGRAM | UBS FINANCIAL SERVICES INC. |
| MANAGED ACCOUNT ACCESS PROGRAM AND MANAGED ACCOUNT SELECT | CHARLES SCHWAB & CO., INC. |
| MANAGED ACCOUNT PROGRAM AND LOCKWOOD SPONSORED | PERSHING LLC |
| FIDUCIARY SERVICES PROGRAM | MORGAN STANLEY SMITH BARNEY LLC |
| GLOBAL MANAGER STRATEGIES | GOLDMAN, SACHS & CO. |
| UNIFIED MANAGED ACCOUNTS AND ADVISOR AS PORTFOLIO MANAGER | ENVESTNET, INC. |
| OUTSIDE MANAGED PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| BOK FINANCIAL ADVISORS | BOK FINANCIAL ADVISORS |
Identifiers
| SEC RIA File Number | 801-5875 |
|---|---|
| SEC ERA File Number | 801-5875 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110349 |
| Legal Entity Identifier | 9845007HYL5B8ED63A37 |
Principal Office
1 STATION PLACESUITE 470
STAMFORD
CT
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-403-3500, Fax: 212-403-5515
Chief Compliance Officer
DINA CLEMENTS
1 STATION PLACE
SUITE 470
STAMFORD
CT
United States
Tel:
617-320-2272
D************@******************M
(Full email address available in API data)
Regulatory Contact
TINA JONES
CHIEF INVESTMENT OFFICER
1 STATION PLACE
SUITE 470
STAMFORD
CT
United States
Tel:
212 403-3619
T*********@******************M
(Full email address available in API data)
Industry Affiliates
| ROTHSCHILD & CO CREDIT MANAGEMENT (NORTH AMERICA) | Other investment adviser, including financial planners |
| ROTHSCHILD & CO US INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROTHSCHILD & CO LARGE-CAP VALUE FUND, LLC | LONG ONLY FUND | $18.7M | $1.0M | 5 |
| ROTHSCHILD & CO SMALL-CAP TRUST | LONG ONLY FUND | $72.4M | $1.0M | 9 |
| ROTHSCHILD & CO SMALL/MID-CAP FUND, L.L.C. | LONG ONLY FUND | $20.6M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | Domestic Entity | – | PARENT OF APPLICANT | 12/1987 | > 75% |
| ROTHSCHILD & CO CONTINUATION HOLDINGS AG | Foreign Entity | ROTHSCHILD & CO NORTH AMERICA INC. | SHAREHOLDER, COMMON VOTING | 07/2003 | > 75% |
| CONCORDIA HOLDING SARL | Foreign Entity | ROTHSCHILD & CO CONTINUATION HOLDINGS AG | SHAREHOLDER | 06/2019 | 50-75% |
| PARIS ORLEANS HOLDING BANCAIRE SAS | Foreign Entity | CONCORDIA HOLDING SARL | SHAREHOLDER | 01/2008 | > 75% |
| ROTHSCHILD & CO SCA (FORMERLY KNOWN AS PARIS ORLEANS SCA) | Foreign Entity | PARIS ORLEANS HOLDING BANCAIRE SAS | SHAREHOLDER | 01/2008 | > 75% |
| ROTHSCHILD & CO CONCORDIA SAS | Foreign Entity | ROTHSCHILD & CO SCA (FORMERLY KNOWN AS PARIS ORLEANS SCA) | SHAREHOLDER | 01/2008 | 25-50% |
| BAUDARD, PIERRE, DOMINIQUE | Individual | – | DIRECTOR | 01/2022 | < 5% |
| PARIS ORLEANS HOLDING BANCAIRE SAS | Foreign Entity | ROTHSCHILD CONTINUATION HOLDINGS AG | SHAREHOLDER | 06/2012 | 25-50% |
| POWELL, GARY, ALAN | Individual | – | DIRECTOR AND CHAIRMAN OF THE BOARD | 06/2016 | < 5% |
| JONES, TINA | Individual | – | DIRECTOR AND CHIEF INVESTMENT OFFICER | 04/2019 | < 5% |
| CLEMENTS, DINA, VICTOROVNA | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |