Hedge Fund Database

ROTHSCHILD CAPITAL PARTNERS

ROTHSCHILD CAPITAL PARTNERS, LLC Legal Name

Adviser information for ROTHSCHILD CAPITAL PARTNERS last updated from Form ADV on March 28th, 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 Delaware, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
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 69 $351.3M
Non-Discretionary 0 $0
Total 69 $351.3M

Clients

Type Number RAUM
Individuals <5 $1.5M
HNW Individuals 57 $169.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 2 $179.9M
Pension and profit sharing plans 0 $0
Charitable organizations <5 $907,558
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 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles
Compensation % of AUMHourly chargesPerformance-based fees

Identifiers

SEC RIA File Number 801-73843
SEC ERA File Number 801-73843
SEC CIK Numbers 1569833
SEC CRD Numbers 161688
Legal Entity Identifier None

Principal Office

477 MADISON AVE
6TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-931-5303, Fax: 646-507-5920

Websites

www.rothcap.com www.linkedin.com/company/rothschild-capital-partners/about/

Chief Compliance Officer

MICHAEL J. LEVENSON
CHIEF OPERATING OFFICER
477 MADISON AVE
6TH FLOOR
NEW YORK
NY
United States
Tel: 646-755-3215
(Full email address available in API data)

Regulatory Contact

MEGAN FREDERICK
OPERATIONS MANAGER
477 MADISON AVE
6TH FLOOR
NEW YORK
NY
United States
Tel: 646-755-3130
(Full email address available in API data)

Industry Affiliates

ROTHSCHILD CORNERSTONE GP, LLC Sponsor, GP, manager of pooled investment vehicles
RT GP LLC Sponsor, GP, manager of pooled investment vehicles
VANCE 1530 MM LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ROTHSCHILD CORNERSTONE FUND, LP Hedge Fund $169.7M $1.0M 26
ROTHSCHILD TECHNOLOGY PARTNERS, LP Hedge Fund $10.2M $1.0M 16

Control Persons

Name Type Entity Title Since Ownership
ROTHSCHILD, DAVID, DALSEMER Individual – CHIEF EXECUTIVE OFFICER 03/2013 > 75%
WOOD, JASON, BARRETT Individual – CHIEF INVESTMENT OFFICER 03/2013 < 5%
LEVENSON, MICHAEL, JEFFREY Individual – CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 05/2019 < 5%
COOK, MARGUERITE, AMBROSETTI Individual – PRESIDENT OF WEALTH AND ENGAGEMENT PLANNING 08/2023 < 5%
DAME, JOHN, SPENCER ROTHSCHILD Individual – GENERAL COUNSEL 04/2023 < 5%

No. Employees, Historic

105020192020202120222023202420258 on 6/11/20198 on 11/12/20196 on 3/20/20206 on 6/24/20206 on 3/29/20216 on 3/28/20226 on 9/9/20226 on 3/29/20236 on 5/1/20236 on 7/17/20236 on 9/13/20236 on 9/13/20237 on 3/28/2024

RAUM, Historic

400M200M02019202020212022202320242025286664394 on 6/11/2019286664394 on 11/12/2019331324977 on 3/20/2020331324977 on 6/24/2020339590837 on 3/29/2021379705509 on 3/28/2022379705509 on 9/9/2022317580183 on 3/29/2023317580183 on 5/1/2023317580183 on 7/17/2023317580183 on 9/13/2023317580183 on 9/13/2023351295209 on 3/28/2024

No. Clients, Historic

80400201920202021202220232024202574 on 6/11/201974 on 11/12/201973 on 3/20/202073 on 6/24/202068 on 3/29/202169 on 3/28/202269 on 9/9/202268 on 3/29/202368 on 5/1/202368 on 7/17/202368 on 9/13/202368 on 9/13/202366 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 32M 175K –
ALPHABET INC CAP STK CL C 8M 42K –
AMAZON COM INC COM 24M 127K –
APPLE INC COM 38M 179K –
BLACKROCK INC COM 3M 4K –
DONALDSON INC COM 4M 54K –
ECOLAB INC COM 13M 54K –
ENTERPRISE PRODS PARTNERS L COM 6M 222K –
INVESCO EXCH TRADED FD TR II S&P GBL WATER 278K 5K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 5M 29K –
ISHARES TR CORE MSCI EAFE 227K 3K –
ISHARES TR CORE S&P MCP ETF 389K 7K –
ISHARES TR CORE S&P SCP ETF 438K 4K –
ISHARES TR CORE S&P500 ETF 416K 761 –
ISHARES TR RUS 1000 ETF 344K 1K –
ISHARES TR RUS 2000 GRW ETF 337K 1K –
ISHARES TR RUS MD CP GR ETF 456K 4K –
ISHARES TR RUSSELL 2000 ETF 14M 68K –
JPMORGAN CHASE & CO. COM 21M 104K –
MEDTRONIC PLC SHS 3M 38K –
MERCK & CO INC COM 8M 61K –
MICROSOFT CORP COM 21M 47K –
PACER FDS TR US CASH COWS 100 407K 7K –
PROSHARES TR SHORT S&P 500 NE 268K 23K –
QUEST DIAGNOSTICS INC COM 441K 3K –
SELECT SECTOR SPDR TR ENERGY 4M 45K –
SELECT SECTOR SPDR TR INDL 18M 148K –
SELECT SECTOR SPDR TR RL EST SEL SEC 4M 104K –
SELECT SECTOR SPDR TR SBI CONS DISCR 6M 31K –
SELECT SECTOR SPDR TR SBI CONS STPLS 11M 142K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 15M 105K –
SELECT SECTOR SPDR TR SBI INT-UTILS 8M 119K –
SELECT SECTOR SPDR TR TECHNOLOGY 26M 113K –
SPDR GOLD TR GOLD SHS 16M 74K –
SPDR S&P 500 ETF TR TR UNIT 709K 1K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 782K 1K –
UNITEDHEALTH GROUP INC COM 8M 15K –
VANECK ETF TRUST SEMICONDUCTR ETF 14M 52K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 2M 28K –
VANGUARD INDEX FDS S&P 500 ETF SHS 641K 1K –
VANGUARD INDEX FDS SM CP VAL ETF 281K 2K –
VANGUARD INDEX FDS VALUE ETF 501K 3K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 536K 12K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 391K 7K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 393K 5K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 2M 37K –
VISA INC COM CL A 10M 37K –